ASU Manuals: A Compilation

The ASU Code 1

A Compilation of the Aklan State University Code, Operation Manual and PoliciesA Compilation of the Aklan State University Code, Operation Manual and Policies

The ASU Code 1


Page

Chapter 1 General Provisions 6

Article 1 Title 6

2 Nature 6

3 The Charter 6

4 Essence of the University Existence 6

5 Policies 6

6 Powers 7

Chapter 2 The Governing Board 7

Article 7 Composition and Manner of Appointment 7

8 Powers and Duties 8

9 Term of Office 11

10 Meetings 11

11 Committees 11

12 Filing of Report 11

Chapter 3 The University Academic Council 12

Article 13 Composition 12

14 Powers 12

15 Presiding Officers 12

16 Meetings 13

17 Amendments 13

18 Committees 13

Chapter 4 The Administrative Council 14


20 Duties 14

21 Meetings 14

22 Committees 14

Chapter 5 Officers of Administration 15

Article 23 University Officers 15

24 The Administration 15

25 Qualifications of the University President 15

26 Powers and Duties of the University President 15

27 The Vice President for Administration 17

28 Duties of the Vice President for Administration 18

29 The Vice President for Academic Affairs 19

30 Duties of the Vice President for Academic Affairs 19

31 The Vice President for Research and Extension 20

Contents

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32 Duties of the Vice President for Research and Extension 21

33 The Vice President for Resource Generation 22

34 Duties of the Vice President for Resource Generation 22

35 The University/Board Secretary 23

36 The Executive Director 24

37 The Deans 26

38 The Director of Research and Development 26

39 The Director of Extension and Community Services 28

40 The Director of Training Services 29

41 The Director of Information and Communication Technology

Services

29

42 The Director of Student Affairs 31

43 The Director of Admission and Registrarship 31

44 The Director of Curriculum and Instruction 32

45 The Director of Library 33

46 The Director of National Service Training Program 34

47 The Director of Administrative Services 34

48 The Director of Finance Services 35

49 The Director of Physical Plant Development Services 36

50 The Director of Monitoring and Evaluation 37

51 The Director of Alumni and Public Relations 38

52 The Executive Assistant 38

53 The University Legal Counsel 40

Chapter 6 The University Personnel


55 Conditions and Employment 40

56 Qualifications 41

57 Hiring 41

58 Promotion 42

59 Appointment 45

60 Change of Status 45

61 Compensation 46

62 Protest 46

63 Academic Freedom of Teachers 47

64 Tenure 48

65 Resignation and Transfer 48

66 Fellowship Awards 48

67 Sabbatical Assignment 49

68 Work Load 50

69 Related Matters for Academic and Non-Academic Staff 51

70 Open Provisions 51

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Chapter 7 52 Administrative Staff

Article 71 Appointments 52

72 Faculty Directory 52

73 Compensation 52

Chapter 8 Working Hours 53

Article 74 General Provisions 53

75 Service Reports 53

76 Consultation Hours 54

Chapter 9 Leave Benefits 54

Article 77 General Provisions 54

78 Vacation Leave 55

79 Sick Leave 56

80 Maternity Leave 56

81 Paternity Leave 56

82 Study Leave 57

83 Rehabilitation Leave 57

84 Special Leave Privileges 57

85 Parental Leave 57

86 Leave Without Pay and Unexplained Absences 58

87 Special Detail 58

88 Suspension and Removal 58

Chapter 10 Privileges 59

Article 89 Study Privileges 59

90 Insurance and Retirement 59

91 Merit and Awards 59

92 Organizations and Associations 60

Chapter 11 Administrative Matters 60

Article 93 Flow of Communications 60

94 Supervision of Buildings and Grounds 60

95 Use of Building and Grounds 60

96 Custodianship of Buildings and Facilities 61

97 Property Responsibility 61

98 Use and Operation of Motor Vehicles 61

99 Solicitations 61

100 Sale and Disposal of University Property 61

101 Purchasing and Requisitions 61

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102 Procurement 62

103 Bidding 62

104 Negotiated Purchase 63

105 Emergency Purchase 64

106 University Budget 64

107 Records Management 65

108 Records Maintenance 65

109 Records Classification and Filing 65

110 Records Disposition 65

111 Reference Service 67

112 Medical Services 67

113 Dental Services 68

114 Financial Management 68

115 Budget Implementation 68

116 Internal Accounting Control and Disbursement 69

117 Accounting and Auditing 69

118 Donations and Endowments 70

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The Aklan State University Code

Title One provides information about the governance and administration of the Aklan State

University in terms of its mission and purposes, the people who work therein, and their respective

rights and duties necessary for the realization of the goals and objectives of the University.

Article 1. Title. This Manual shall be known as “The Aklan State University Code”

otherwise known as the ASU Administrative Code.

Article 2. Nature. The Aklan State University or ASU, with main address at Banga, Aklan,

Republic of the Philippines, is a public, non-sectarian, non-profit institution of

tertiary and higher learning principally supported by state funds.

Article 3. The Charter. The Aklan State College of Agriculture was established thru RA

7371 and on April 4, 2001, was converted into the Aklan State University by

virtue of RA 9055. Likewise, RA 8292 is one bases of the governance of ASU.

Article 4. Essence of the University Existence

Section 1. The Aklan State University shall primarily provide advanced instruction

and professional training in agriculture, science and technology,

education and other related fields, undertake research and extension

services and provide progressive leadership in these areas: Provided,

that the University shall insure that it retains its original mandate as a

primarily agricultural institution (Sec 2, RA 9055).

Section 2. The University shall offer undergraduate, graduate and short-term

technical courses within its areas of specialization, especially agriculture,

and in accordance to its capabilities, as the Board of Regents may deem

necessary to carry out its objectives, particularly in order to meet the

needs of the province and the region: Provided, that in case of graduate

courses, the University shall strengthen the masters and doctorate

programs in agricultural courses (Sec 3, RA 9055).

Article 5. Policies. The operations of the University are guided by the following policies:

Section 1. Academic Freedom. The University shall enjoy 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 faculty and the student to conduct

academic and scholarly inquiry and to publish the results without prior

restraint or subsequent punishment.

Section 2. Responsibility. The University is responsible for carrying out the basic

principles laid down by the Constitution of the Republic of the

Philippines and to relate its activities and offerings to the needs of the

region and the nation.

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Section 3. Academic Standards. The University shall achieve and maintain high

academic standards of instruction, research, extension and production.

Administrative and auxiliary activities shall be supportive of these

functions.

Section 4. Autonomy. The heads of the various campuses, colleges and units shall

exercise autonomy in the conduct of their internal affairs in consonance

with their functions subject to certain limitations as may be provided by

law and the Aklan State University rules and regulations.

Article 6. Powers. In addition to those provided in the Constitution of the Republic of

the Philippines, the powers of the University shall be those set forth in its

Charter (RA 9055), those granted to corporations under the Corporation

Law and such other powers as may hereafter be provided by law. The

administration of the Aklan State University and the exercise of its powers shall

be vested exclusively in the Board of Regents.

Article 7. Composition and Manner of Appointment

Section 1. Composition. The governing body of the Aklan State University shall be

the Board of Regents, herein after referred to as the Board, which shall

be composed of the following (Sec 5, RA 9055):

a. The Chairperson of the Commission on Higher Education (CHED),

Chairperson;

b. The President of the University, Vice Chairperson;

c. The Chairperson of the Committee on Education, Arts and Culture of the

Senate, member;

d. The Chairperson of the Committee on Higher and Technical Education of

the House of Representatives, member;

e. The Regional Director of the National Economic and Development Authority

(NEDA), member;

f. The Regional Director of the Department of Agriculture, member,

g. The President of the Faculty Federation of the University, member,

h. The President of the Student Federation of the University, member,

i. The President of the Alumni Federation of the University, member; and

j. Two (2) prominent citizens who have distinguished themselves in their

professions or fields of specialization of the University, chosen from among

a list of at least five (5) qualified persons in the Province of Aklan as

recommended by the search committee constituted by the University

president, in consultation with the Chairperson of the CHED, based on the

normal standards and qualifications of the position, members.

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Section 2. Manner of Appointment. The Governing Board Chair, Vice Chair and the

Members coming from the government have the right to sit as Chair, Vice-

Chair and as Members thereof ipso facto upon their assumption into office

(Sec 8, RA 8292 IRR).

Article 8. Powers and Duties

Section 1. The Board shall promulgate and implement policies in accordance with the

declared state policies on education and other pertinent provisions of the

Constitution on education, agriculture, science and technology, as well as

the policies, standards and thrusts of the CHED under Republic Act No.

7722 (Sec 6, RA 9055).

Section 2. The Board of Regents shall have the following specific powers and duties

in addition to its general powers of administration and the exercise of all

the powers granted to the board of directors of a corporation under

section 36 of Batas Pambansa Blg. 68, otherwise known as the Corporation

Code of the Philippines:

a. to enact rules and regulations, not contrary to law, 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 receive in trust legacies, gifts and donations of real and personal

properties of all kinds and to administer and dispose the same when

necessary for the benefit of the University and subject to limitations,

directions and instructions of the donor, if any. Such donations shall be

exempted from all taxes and shall be considered as deductible items from

the income tax of the donor;

d. to fix the tuition fees and other necessary school fees and charges, such as,

but not limited to, matriculation fees, graduation fees and laboratory fees,

as it may deem proper and reasonable to impose after due consultations

with the involved sectors.

Such fees and charges, including government subsidies and other

income generated by the University, shall constitute special trust funds and

shall be deposited in any authorized government depository bank, and all

interests that shall accrue there from shall form part of the same funds for

the use of the University.

Any provision of existing laws, rules and regulations to the contrary

notwithstanding, any income generated by the University from tuition fees

and other charges, as well as from the operation of auxiliary services and

land grants, shall be retained by the University, and may be disbursed by the

Board for instruction, research, extension, or other programs/projects of the

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University: Provided that all fiduciary fees shall be disbursed for the specific

purposes for which they are collected.

If, for reasons beyond its control, the University shall not be able to

pursue any project for which funds have been appropriated and allocated

under its approved program of expenditures, the Board may authorize the

use of said funds for any reasonable purpose which, in its discretion, may be

necessary and urgent for the attainment of the objectives and goals of the

University;

e. to adopt and implement a socialized scheme of tuition and school fees for

greater access to poor but deserving students;

f. to authorize the construction or repair of its buildings, machineries,

equipment and other facilities and the purchase and acquisition of real and

personal properties, including necessary supplies, materials and equipment;

g. to appoint, upon recommendation of the president of the University, vice

presidents, deans, directors and heads of departments, faculty members and

other officials and employees of the University;

h. to fix and adjust salaries of faculty members and 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 regulations as it may promulgate, any provision of

existing law to the contrary notwithstanding; and to remove them, for cause

in accordance with the requirements of due process of law;

i. to approve the curricula, institutional programs and rules of discipline drawn

by the administrative and academic councils as herein provided;

j. to set policies on admission and graduation of students;

k. 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 award of

certificate of completion for non-degree and non-traditional courses;

l. to establish and absorb tertiary institutions within the province of Aklan as

branches, centers, stations, etc., in coordination with the CHED and in

consultation with the Department of Budget and Management (DBM), and

to offer therein programs or courses to promote and carry out equal access

to educational opportunities mandated by the Constitution;

m. to establish research and extension centers of the University which promote

the development of the University;

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n. to establish chairs in the University and to provide fellowship for qualified

faculty members and scholarships to deserving students;

o. to delegate any of its powers and duties provided for herein above to the

president and/or other officials of the University as it may deem appropriate

so as to expedite the administration of the affairs of the University;

p. to authorize an external management audit of the institution, to be financed

by CHED, and to institute reforms, including academic and structural

changes, on the basis of audit results and recommendations;

q. to collaborate with other governing boards of state universities and colleges

within the Province of Aklan or Region VI, where it may be feasible, under

the supervision of the CHED in consultation with the DBM, the restructuring

of said colleges and universities to become more efficient, relevant,

productive and competitive;

r. to enter into joint ventures with business and industry for the profitable

development and management of the economic assets of the University, the

proceeds from which shall be used for the development and strengthening

of the same;

s. 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 purposes and objectives of the University;

t. to develop academic arrangements for institution capability building with

appropriate institutions and agencies, public or private, local or foreign, and

to appoint experts/ specialists as consultants, or visiting or exchange

professors, scholars, researchers, as the case may be;

u. to set up the adoption of modern and innovative modes of transmitting

knowledge such as the use of information technology, the dual system,

open-learning, community laboratory, etc., for the promotion of greater

access to higher education;

v. to establish policy guidelines and procedures for participative decision-

making and transparency within the University;

w. to privatize, where most advantageous to the University, management of

non-academic services such as health, food, building, grounds or property

maintenance and such other similar activities; and

x. to extend the term of the president of the University beyond the age of

retirement but not later than the age of seventy (70), whose performance

has been unanimously rated as outstanding and upon unanimous

recommendation of the search committee.

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Article 9. Term of Office. The presidents of the faculty, alumni and student federations

shall be coterminous with their respective terms of office in such capacities in

accordance with their respective Constitution and By-Laws. The prominent

citizens shall serve for a term of two (2) years (Sec 3, RA 9055 & Sec 12, RA8292

IRR).

Article 10. Meetings. The Board of Regents shall regularly convene at least once every

quarter. However, the Chairman of the Board may, upon three (3) days prior

written notice, call a special meeting whenever necessary (sec 8, RA 9055).

Section 1. A quorum of the Board of Regents shall consist of majority of all

members holding office at the time of the meeting. Provided, however,

that the Chairperson of the CHED or the president of the University is

among those present in the meeting (Sec 8, RA 9055).

Section 2. In the absence of the Chairperson of the CHED, a commissioner of the

CHED, duly designated by him, shall represent him in the meetings with

all the rights and responsibilities of a regular member. Provided,

however, that in the said meeting, the president of the University as the

vice Chairperson shall be the presiding officer (Sec 8, RA 9055).

Section 3. The members of the Board shall not receive any salary but they shall be

entitled to reimbursements for actual and necessary expenses incurred,

either in their attendance to meetings of the Board or in connection with

other official business authorized by resolution of the Board, subject to

pertinent existing laws and regulations (Sec 8, RA 9055).

Article 11. Committees

Section 1. The Board of Regents shall create committees as it may deem necessary

for the proper performance of its functions.

Section 2. The president of the University shall be a member of all committees

created by the Board of Regents.

Article 12. Filing of Report. On or before the fifteenth (15th) day of the second month

after the opening of regular classes each year, the President of the University

shall file with the Office of the President of the Republic of the Philippines

through the Chairperson of the CHED, the Senate and House of Representatives

a detailed report on the progress, conditions, and needs of the University.

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Article 13. Composition

Section 1. There shall be an Academic Council with the President of the

University as Chairperson and all members of the instructional staff, with

the rank of not lower than Assistant Professor, as members (Sec 11, RA

9055).

Section 2. The University Secretary shall act as the secretary of the Academic

Council. It shall be his/her duty to issue notices and agenda of meetings

of the Council, keep minutes of its proceedings, and furnish a copy of

the minutes to each member of the Council.

Article 14. Powers

Section 1. The Academic Council shall have the following powers:

a. to prescribe curricular offerings in the University subject to the

approval of the Board of Regents;

b. to fix the requirements for admission to the University, subject to

the approval of the Board of Regents;

c. to fix the requirements for graduation and to confer degrees,

subject to the review and approval of the Board of Regents;

d. to recommend students or others to be recipients of degrees,

honors, and awards;

e. to formulate academic policies, subject to the review and approval

of the Board of Regents;

f. to prescribe the rules and regulations of discipline, subject to the

review and approval of the Board of Regents;

g. to exercise disciplinary power over students through the President

of the University upon the recommendation of the Committee on

Discipline;

h. to express the view of the faculty on matters of general concern;

and

i. to perform such other functions as may be delegated by the Board

of Regents or by the President of the University.

Article 15. Presiding Officer

Section 1. The president of the University shall be the presiding officer of the

Academic Council. In his/her absence, the Vice-President for Academic

Affairs shall preside, or in the absence of both, the Council shall elect a

presiding officer from among themselves after the Secretary of the

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Council shall have convened the members in a meeting.

Article 16. Meetings

Section 1. The Academic Council shall meet once a semester. Special

meetings may be called by the President of the University or upon the

special request of at least one-fifth of the members of the Council.

Section 2. Attendance to all its meeting is required from every member of the

Academic Council.

Section 3. An absence by any member must be explained satisfactorily in

writing within 72 hours after the meeting excluding non-working days to

the Secretary of the Council through the Deans or Academic Heads

concerned.

Section 4. A member who fails to attend the meeting of the Academic Council

without acceptable satisfactory reasons should file the necessary papers

for leave of absence for the day of the meeting. The following are

satisfactory reasons for absences:

a. official leave/travel;

b. accident or illness of faculty and or immediate members of the

family preferably substantiated by appropriate certificates issued

by legitimate issuing officers.

Section 5. Notice of meetings shall be disseminated at least 48 hours

before the scheduled date and time.

Section 6. Proposals to be discussed in the meetings shall be disseminated

to the members of the Council at least 48 hours before the meeting.

Section 7. A simple majority shall determine the quorum of the Academic

Council.

Article 17. Amendments.

Section 1. Amendment, if any, to matters already approved by the Academic

Council shall be subjected for approval by three-fourths (3/4) votes of

the members present in a quorum.

Section 2. The Council members shall be furnished with copies of any proposed

amendment at least 48 hours before the meeting.

Section 3. Amendments referred back by the Board of Regents for review or

modification shall be acted upon as part of new business and not as an

amendment.


Section 1. The Academic Council may create such committees as it may deem

necessary.

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Section 1. There shall be an Administrative Council consisting of the President of

the University as Chairperson, the Vice-Presidents, the University

Secretary, Deans, Directors and other officials of equal rank as

members (Sec 10, RA 9055).

Section 2. The University Secretary shall be the secretary of the Administrative

Council who shall disseminate the notice and agenda of meetings.

Article 20. Duties

Section 1. The Administrative Council shall review and recommend to the Board of

Regents policies governing the administration, management and

development planning of the University for appropriate action (Sec 10,

RA 9055).

Section 2. The specific duties of the Administrative Council are as follows:

a. to serve as an advisory body to the President of the University on

official matters;

b. to serve as a coordinating committee for the various committees

of the University for more effective performance of functions and

attainment of ends;

c. to decide on disciplinary cases in accordance with the rules of

discipline promulgated by the Academic Council and the existing

Civil Service rules and regulations;

d. to act as a committee on all matters not covered by other

committees of the University; and

e. to formulate administrative policies, subject to the review and

approval of the Board of Regents.

Article 21. Meetings

Section 1. A meeting of the Administrative Council shall be called by the

President of the University, or the Officer-in-charge, or upon the request

of the majority of all the members of the Council.

Section 2. The quorum shall be a simple majority of all the members of the Council.


Section 1. The Administrative Council may create such committees as it may deem

necessary.

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Article 23. University Officers

Section 1. The Officers of Administration of the University shall be the President,

Vice Presidents, Board/University Secretary, Executive Directors, Deans,

Directors and other Administrative Heads.

Article 24. The Administration

Section 1. The University shall be headed by a President who shall render full-time

service. He/she shall be appointed by the Board of Regents upon the

recommendation of a duly constituted search committee. He/she shall

hold office for a term of four (4) years, extendible only for another four

(4) years (Sec 9, RA 9055).

Section 2. The President of the University shall be assisted by the Vice President for

Administration, Vice President for Academic Affairs, Vice President for

Research and Extension and Vice President for Resource Generation who

shall be appointed/designated by the Board of Regents upon the

former’s recommendation.

Section 3. In case of vacancy in the office of the President by reason of death,

compulsory retirement, resignation, removal for cause or incapacity of

the President to perform the functions of his/her office, the Board of

Regents shall have the authority to designate an officer-in-charge

pending the appointment of a new president .

Section 4. In case of vacancy in the office of the President of the University as

mentioned in Section 3, his/her successor shall hold office for the

unexpired term. If the successor shall serve for a period of more than

two (2) years, then such shall be considered as one full term for the

successor .

Section 5. Should the term of office of the President of the University expire before

he reaches retirement age, he/she shall be given the professorial rank

based on his/her NBC 461 print-out.

Article 25. Qualifications of the University President

Section 1. The President of the University shall be holder of any doctorate degree

or its equivalent. He/she shall have at least five (5) years of very

satisfactory administrative and supervisory performance and experience

in an institution of higher learning.

Article 26. Powers and Duties of the University President

Section 1. The powers and duties of the President of the University in addition to

those specifically provided in RA 9055, shall be those usually pertaining

to the Office of the President of a similar university and those delegated

by the Board of Regents.

Section 2. The specific powers and duties of the President of the University are as follows:

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a. carries out the general policies laid down by the Board and

shall have the power to act within the limits of the said policies.

He/she shall have the powers to exclusively direct and assign

the details of executive action;

b. determines the agenda of all meetings of the Board, Academic

Council, and Administrative Council. Provided, however, that any

member of the Board or of the Council is entitled to have any

pertinent matter included in the agenda upon written request;

c. recommends for appointment/designation to the Board,

qualified persons to fill vacancies and new positions under the

terms and conditions laid down by the Board and the Civil

Service Commission;

d. holds general responsibility for the maintenance of high

academic standards and the enforcement of discipline in the

University;

e. presides at commencement and other public exercises of the

University and confer such degrees and honors as granted by

the Board. All diplomas and certificates issued by the University

at the regular commencement exercises shall be signed by him/

her, Dean, Board and University Secretary and University

Registrar;

f. acts as the official link between the academic and non-

academic staff and students of the University on one hand and

the Board on the other;

g. exercises such powers and functions as delegated to him/her or

as authorized by the Board. The President shall inform the

Board of any action taken by him/her in accordance with his/her

power and duty;

h. approves request for change of the leave status of any

member of the academic staff from teacher’s leave to

cumulative leave or vice-versa subject to policies approved by

the Board;

i. holds the members of the academic and non-academic staff to

the full discharge of their duties, and if the exigency of the

service demands, shall, after consultation with the Vice

President, Directors, Deans or Units Head concerned, initiate the

necessary proceedings for separation from the service of any of

them;

j. submits an annual report to the Board on the performance of

the University in the preceding fiscal year and the needs of the

next year not later than ninety (90) days after the end of the

academic year;

k. prepares and present to the Board the annual budget of the

University;

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l. reviews, modifies or disapproves any action or resolution of any

body in the University if, in his judgment, the larger interest of

the University so requires. Should such power be exercised, he/

she shall communicate his/her decision in writing to the body

concerned, stating therein the reasons for the action; thereafter,

he/she shall inform the Board which body may subsequently

take any action deemed appropriate in connection therewith;

m. receives all notices for the Board, endorses the same for

inclusion in the immediately following Board meeting;

n. delegates presidential functions to any officer or officers or

office in accordance with the rules prescribed by the Board;

o. supervises all academic, business and financial operations of

the University;

p. signs in behalf of the University all contracts, deeds and other

instruments necessary for the proper conduct of the University;

however, in regularly recurring undertakings and transactions

where action is virtually ministerial, the conditions and terms

therefore having been fixed by the University budget, and by

existing regulations and general laws, the President may direct

in writing, officers to sign such documents, subject to

safeguards that the President may impose; and

q. reorganizes the University subject to the provisions of its

Charter and other applicable laws. That is, he/she has the power

to create and abolish new colleges, offices, units or reorganize

them; and transfer offices or units with due respect to security

of tenure of all employees in accordance with existing laws and

Civil Services Rules and Regulations, subject to the approval of

the Board;

r. designates a Vice President and /or a ranking officer to act as

Officer-In-Charge who shall carry out routine management of

the University in his/her name and in accordance to his/her

instructions and the policies of the Board in case of his brief

absence or official travel;

s. invites from time to time, scholars of eminence, and other

persons who have achieved distinction in some learned

profession or career, to deliver a lecture or a series, thereof.

t. recommends to the Board fixed and revised rates of honoraria

or allowances for personnel appointed to basic positions on

additional or special assignments, unless otherwise provided by

existing laws.

Article 27. The Vice President for Administration

Section 1. The Vice President for Administration shall be appointed/

designated by the Board of Regents upon the recommendation of the

President of the University. He/she shall be a holder of at least a

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master’s degree in a related field and shall have at least a very

satisfactory administrative and supervisory performance and experience

of at least five (5) years in an institution of higher learning preferably

from ASU.

Section 2. The Vice President for Administration shall be directly responsible to the

President of the University. He/she shall have a term of two (2) years

without prejudice to redesignation/reappointment for another two (2)

years or until he/she reaches retirement which comes first. However, the

designation/appointment could be withdrawn anytime for cause.

Article 28. Duties of the Vice President for Administration

Section 1. He/she shall coordinate with the President of the University and the

other Vice President on matters related to the operation of the

University.

Section 2. He/she shall have supervision over all offices and support services under

him as reflected in the organizational structure of the University.

Section 3. Other specific duties of the Vice President for Administration are as

follows:

a. serves as deputy of the ASU President and performs functions

that the later or the Board of Regents may assign to him/her;

b. assists the ASU President in the administration of the university

and sourcing donations and grant-in-aid for the support of

scholarships and development of school facilities;

c. recommends to the ASU President the allocation of funds for

administrative, resource generation, and auxiliary operations in

consultation with the Directors of Administrative Services,

Finance services, Physical Plant Development services, and

Auxiliary Services;

d. ascertains that actual expenditures are in accordance with the

authorized appropriations and allotments in the Offices following

the government accounting and auditing rules and regulations;

e. certifies the disbursement vouchers that expenses/advances are

necessary, lawful and incurred under his/her direct supervision;

f. supervises the operations of the Administrative Services, Finance

Services, and Physical Plant Development and Management, and

Security Services.

g. provides administrative support to the Executive Directors,

Deans, Directors and Units Heads of the University to attain the

goals and objectives of their respective schools /college/units to

realize the shared vision for the University;

h. provides effective liaison between the University and the

community, other educational institutions, agencies, and

organizations of the Local Government units; and

i. prepares and submits periodic reports to the ASU President for

The ASU Code 19


The ASU Code 19


submission to the other Board of Regents, DBM, COA, Congress

and other government agencies.

Article 29. The Vice President for Academic Affairs

Section 1. The Vice President for Academic Affairs shall be designated by the Board

of Regents upon the recommendation of the President of the University.

He/she shall be a holder of a doctorate degree in a related field and

shall have at least a very satisfactory administrative and supervisory

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

higher learning preferably from ASU.

Section 2. The Vice President for Academic Affairs shall be directly responsible to

the President. He/she shall serve for a term of two (2) years without

prejudice to re-designation/re-appointment for another two (2) years or

until he/she reaches retirement age whenever comes first. However, the

designation/appointment could be withdrawn anytime for a cause.

Article 30. Duties of the Vice President for Academic Affairs

Section 1. To coordinate with the President of the University and other Vice

Presidents regarding the academic programs of the University.

Section 2. To provide effective liaison between the University and the academic

community both local, national and international.

Section 3. To initiate and undertake activities that should keep the University

updated with recent developments in the academic affairs.

Section 4. The specific duties of the Vice-President for Academic Affairs are as

follows:

a. serves as deputy of the ASU President on academic affairs;

b. supervises the personnel, budget and expenditures, and

annual procurement planning, and recommends to the

Office of the University President the allocation of funds and

personnel appointment for the offices of National Service

Training Program (NSTP), Admission and Registrarship,

Student Affairs, Library and Information Services, and

Curriculum and Instruction Development under his

supervision;

c. ascertains that actual expenditures are in accordance with the

authorized appropriation on allotments in the offices of the

Academic Affairs following the government accounting and

auditing rules and regulations;

d. certifies the disbursement voucher that expenses/advances

are necessary, lawful and incurred by the offices of NSTP,

Admission and Registrarship, Student Affairs, Library and

Information Services; and Curriculum and instruction

Development;

e. coordinates with the Vice Presidents, Campus Heads, Deans,

Directors and Unit Heads regarding Curriculum, and

The ASU Code 20


The ASU Code 20


Instruction Development, Student Affairs, Admission and

Registrarship, Library and Information Services Programs of

the University;

f. provides effective liaison between the university and

community, other educational institutions, government and

non-government organizations, foundations etc., on

academic affairs;

g. reviews and assigns faculty workloads in coordination with

the Deans and Executive Directors in all campuses/degree

granting Units of the University;

h. prepares schedules of classes in all campuses/Degree

Granting Units in coordination with the Campus Heads,

Deans, and Registrars of the University;

i. prepares classroom assignments and utilization of classrooms

laboratory facilities, and other academic activities of the

University in coordination with Campus Heads and Deans;

j. prepares and implements the approved academic calendar

of the university, and recommends necessary changes/

amendments in consultation with the academic units of the

university to the Office of the University President;

k. initiates activities that shall keep the university abreast with

recent development in instruction, research, extension, and

production;

l. prepares and pursue programs for faculty and staff

development;

m. assists the President in sourcing donations and grants-in –

aid and income generation initiatives for the support of

scholarship and development of the students, faculty and

staff;

n. conduct meetings/ conferences/ training workshops/

seminars in coordination with the President, Vice President,

Campus Heads, Deans, Directors and other Unit Heads

regarding the planning, implementation, monitoring and

evaluation of academic programs of the university; and

o. performs other functions that the ASU President or Board of

Regents may assign;

Article 31. The Vice President for Research and Extension

Section 1. The Vice President for Research and Extension is directly responsible to

the President of the University. He/she shall serve for a term of two (2)

years without prejudice to re-designation for another two (2) years or

until he/she reaches retirement age whichever comes first. However, the


The ASU Code 21


The ASU Code 21


Article 32. Duties of the Vice President for Research and Extension

Section 1. Coordinates with the President of the University and other Vice

Presidents regarding the research, extension, Information

Communication Technology and Training programs of the University.

Section 2. Provides effective liaison between the University and the research and

extension community both local, national and international.

Section 3. Initiates and undertakes activities that should keep the University

updated with recent developments in the research and extension affairs.

Section 4. The specific duties of the Vice President for Research and Extension are

as follows:

a. serves as deputy of the ASU President on research and extension;

b. supervises the personnel, budget and expenditures, and annual

procurement planning, and recommends to the office of the

University President the allocation of funds and personnel

appointments for the offices of Research and Development

Services, Extension and Community Services, Training Services

and Information and communication Services;


authorized appropriations on allotments in the offices under the

Office of the Research and Extension following the government

accounting and auditing rules and regulations;

d. certifies the disbursement voucher that expenses/advances are

necessary, lawful, and incurred by the offices of Research and

Development Services, Extension and Community Services,

Training Services and Information Communication Technology

Services under his/her direct supervision;

e. coordinates with the Vice Presidents, Dean, Directors and Units

Heads regarding Research and Development Services, Extension

and Community Services, Training Services and Information and

Communication Technology Services of the University;

f. provides effective liaison between the university and community,

and other educational institutions, government and non-

government organizations, foundations, research and training

institutions;

g. conduct In-house research and extension reviews, trainings,

and initiates activities that shall keep the university abreast with

recent development in instruction, research, extension, and

production;

h. prepares and pursue programs for staff continuing development;

i. assists the President in sourcing donations and grants-in-aid

and income generation initiatives for the support of research

and development, extension and community services, training,

and information and communication technology programs;

The ASU Code 22


The ASU Code 22


j. conduct meetings/conferences/trainings/ workshops/seminars

in coordination with the President, Vice Presidents, Executive

Directors, Deans, Directors and other unit heads regarding the

planning, implementation and Communication Development

Programs of the University; and

k. performs other function that the ASU President or Board of

Regents may assign.

Article 33. The Vice President for Resource Generation

Section 1. The Vice President for Resource Generation shall be designated by the

Board of Regents upon the recommendation of the University President.

He/she shall be a holder of at least a master’s degree in a related field

and shall have at least a very satisfactory administrative and supervisory

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

higher learning preferably from ASU.

Section 2. The Vice President for Resource Generation is directly responsible to the

President of the University. He shall serve for a term of two (2) years

without prejudice to re-designation another two (2) years or until he

reaches retirement age whichever comes first. However, the


Article 34. Duties of the Vice President for Resource Generation

Section 1. Coordinates with the President of the University and other Vice

Presidents regarding the resource generation activities and programs of

the University.

Section 2. Make plans, initiate and undertake activities to generate resources for

the University.

Section 3. The specific duties of the Vice President for Resource Generation are as

follows:

a. exercises direct supervision and control over all offices and

services under him as reflected in the organizational structure of

the University;

b. initiates, reviews and develops proposals and guidelines on

income generating projects consistent with the available

resources of the different units of the University;

c. make plans, coordinate and direct the resource generation

activities and programs with the different resource generation

units of the University;

d. formulates, develops and evaluates resource generation policies

and standards for the University;

e. assists the President of the University in linkaging and resourcing

efforts through preparation of proposals, business plans or

special project to support the resource generation of the

University;

f. coordinates, consolidates and prepares report on the resource

The ASU Code 23


The ASU Code 23


generation activities and programs of the University; and

g. performs such other functions that maybe delegated by the

President of the University.

Article 35. The University and Board Secretary

Section 1. The Board of Regents shall appoint a Secretary who shall serve as such

for both the Board and the University and shall keep all records and

proceedings of the Board. He/she shall communicate to each member

of the Board notice of meetings.

Section 2. The University and Board Secretary is the Chief Custodian of the Seal of

the University. As such, he/she shall oversee the production and

issuance of important documents of the Governing Board and shall affix

the Seal of the University thereon.

Section 3. The specific duties of the Board Secretary are as follows:

a. directly responsible to the Board of Regents;

b. consults with the Board of Regents as regards University

concerns;

c. provides liaison between/among the Board, the University

President and the rest of the ASU Community;

d. signs Board-approved resolutions and other documents together

with the Chairperson of the Board and the President;

e. issues calls and notices for Board Meetings in consultation with

the Chairman of the Board and the President of the University;

f. prepares the Agenda of Board Meetings, in consultation with the

President;

g. prepares the Minutes of Meetings of the Board;

h. Issues Excerpts of Minutes or Certifications on actions of the

Board;

i. prepares Referenda for action of the Board on matters of

immediate importance, in consultation with the Chairman of the

Board and/or the President;

j. maintains an Inventory of Board Resolutions;

k. oversees all committees created by the Board;

l. coordinates the activities of the Board;

m. maintains the Directory of the Board of Regents;

n. oversees the BOR Archives Office, specifically for the repository

of data relating to the governance body;

o. attends trainings, conferences, seminars and meetings pertinent

to University concerns; and

p. performs other function that the Board of Regents may assign.

The ASU Code 24


The ASU Code 24


Section 4. The specific functions of the University Secretary are as follows:

a. directly responsible to the President;

b. consults with the President of the University as regards University

concern;

c. coordinates with the Other Officials of the University as regards

University matters;

d. signs important academic documents such as diplomas and/or

certificates of graduation together with the President and the

Deans; and affix the Seal of the University thereon;

e. represents the Office in the Administrative Council and Other

Councils;

f. represents the Office in the Faculty and Staff Development

Committee (FSDC), PRAISE and other Committees;

g. heads the Secretariat of the Administrative Council;

h. heads the Secretariat of the Academic Council;

i. prepares and recommends to the University President the

budget and annual procurement plan of the Office of the

University and Board Secretary;

j. supervises and administers the personnel assigned in the Office

of the University and Board Secretary;

k. oversees the Ceremonies Department/Unit/Committee for the

University-wide convocations, including investitures; and

l. attends to other matters that the University President may

delegate.

Article 36. The Executive Director

Section 1. The Executive Director of the Campus of the University shall be

designated/ appointed by the Board of Regents upon the

recommendation of the President of the University. He/she shall be

designated for two (2) years without prejudice to renewal for another

two (2) years. However, the designation/ appointment could be

withdrawn anytime for a cause;

Section 2. The Executive Director is directly responsible to the President of the

University. He/she shall exercise control and general supervision,

direction, evaluation and coordination of the instruction, research,

extension, production and other operations and activities of the

respective School/College/Academic Unit.

Section 3. The specific functions of the Executive Director are as follows:

a. plans, supervises and implements curricular offerings/programs

and activities of the Campus assignment;

b. directs the Dean to conduct periodic review and revision of

academic programs;

The ASU Code 25


The ASU Code 25


c. direct the Dean to initiate the development and evaluation of

course studies, syllabi, modules and other instructional materials;

d. direct the Dean to assign the subject/academic loads of faculty

members;

e. defines appropriate program/project of supervision of the

different departments/units;

f. prepares and recommends to the University President the faculty

and staff development plan of the College;

g. recommends to the University President the designation/

transfer/termination of faculty and staff member of the College/

School/Academic Unit;

h. recommends to the University President or his authorized

representative the authority to travel outside Aklan of the faculty

and staff;

i. approves, monitors and evaluates the Daily Time Records and

Locator Slips of Deans and unit Heads.

j. supervises, evaluates and recommends to the University

President the performance of the Dean and non-teaching

personnel;

k. coordinates with the Offices of the Vice President for Academic

Affairs, Student Affairs, Admissions and Registrarship and other

offices concerns in the admission, registration, transfer for

credits, scholarship and other related activities of the students;

l. supervises jurisdiction over disciplinary cases involving the

personnel and students within the limits of the rules prescribed

by the University;

m. prepares and recommends to the University President the

budget proposal of the College/school/academic Unit;

n. administers the use and disbursement of allotted funds for the

Campus for the construction, repair/rehabilitation/maintenance

of school buildings, library facilities and vehicles as well as the

procurement of equipment, supplies and materials and services

within the limit approved by the University President;

o. approves voucher and sign checks for payment of services and

supplies and materials of not more than Fifty Thousand Pesos (P

50,000.00) for every financial transactions including approved

contract with government and private agencies/organizations;

p. approves voucher and signs checks for mandatory payment of

services rendered with initialed from the Finance officer; and

q. performs such other duties as maybe assigned by the University

President.

The ASU Code 26


The ASU Code 26


Article 37. The Deans

Section 1. A Dean of the school/ college or academic unit of the University shall be


recommendation of the President of the University. He/she shall be


two (2) years. However, the designation/ appointment could be

withdrawn anytime for a cause.

Section 2. The Dean is directly responsible to the President of the University. He/

she shall exercise control and general supervision, direction, evaluation

and coordination of the instruction, research, extension, production and

other operations and activities of the respective school/college/

academic unit.

Section 3. The specific functions of the Dean are as follows:

a. confers, coordinates and cooperates with other Academic and

non-academic units of the University, other training institutions,

study centers and agencies;

b. provides leadership in the development of curriculum materials

and promotion of research, extension and production function of

the academic unit;

c. prepares the program of expenditures and recommends budget

appropriations for the needs, projects, and programs of the

academic unit;

d. recommends for appropriate actions the faculty official requests;

e. exercises supervision and control over the official activities of

faculty and students of the academic unit;

f. coordinates with the Vice President of the University any

activities related to the functions of the academic unit; and

g. recommends to the University President or his authorized

representatives the authority to travel of faculty and staff

members.

h. Approves, monitors, and evaluates the Daily Time Records and

Locator Slips of faculty and staff members.

i. Performs such other functions which higher authorities may

assign.

Article 38. The Director of Research and Development Services

Section 1. The Director of Research and Development Services shall be

designated/appointed by the Board of Regents upon the

recommendation of the President. He/she shall be designated for a

term of two (2) years without prejudice to renewal for another two (2)

years. However, the designation/appointment could be withdrawn

anytime for cause.

The ASU Code 27


The ASU Code 27


Section 2. The Director of Research and Development Services is directly

responsible to the Vice President for Research and Extension.

Section 3. The functions of the Director for Research and Development Services are

as follows:

a. initiates and supervises the planning, implementation and

evaluation of new and existing activities, projects, programs

approved by the Board of Regents;

b. initiates and undertakes activities that shall keep the University

abreast with recent development in research;

c. supervises and administers the personnel assigned in the

Research and Development Services;

d. assist the Vice President for Research and Extension in the

formulation of policies and guidelines for the operation of the

Office;

e. prepares the budget, expenditures and annual procurement of

the Office; and shall represent the Office in the Administrative

Council/ Executive Meetings/Conferences;

f. provides effective liaison between the University and

Community, other educational institutions, organizations and

foundations, and local government units (LGUs);

g. sources out Funds from donations and grants–in–aid for the

support of the research activities of university;

h. initiates and innovates efficient research delivery system to

transfer technologies to the community;

i. chairs the R&D coordinators of schools/colleges/units of the

University;

j. ascertains that the actual expenditures are in accordance with

the authorized appropriation or allotments;

k. prepares and submit periodic reports;

l. designs and conducts in-house review/training on matters

related to research;

m. recommends the use and disbursement of funds allotted to RDS

under his/her direct supervision for approval; and

n. do other functions that the President or the Board of Regents

may assign.

Section 5. There shall be the University Research and Extension Council (UREC)

composed of the Vice President for Research and Extension as

Chairperson, the Directors of Research and Extension as Co-Chair and

two (2) members each from the Academic Units of the University

endorsed by their respective heads.

The ASU Code 28


The ASU Code 28


Article 39. The Director of Extension and Community Services

Section 1. The Director of Extension and Community Services shall be designated

by the Board of Regents upon the recommendation of the President.

He/she shall be designated for a term of two (2) years without prejudice

to renewal for another two (2) years. However, the designation/

appointment could be withdrawn anytime for a cause.

Section 2. The Director for Extension and Community Services is directly

responsible to the Vice President for Research and Extension.

Section 3. The functions of the Director for Extension and Community Services are

as follows:

a. initiates and supervises the planning, implementing, monitoring

and evaluating of new and existing activities, projects, and

programs approved by the Board of Regents;

b. initiates and undertakes activities that shall keep the university

abreast with recent development in extension;

c. supervises and administers the personnel assigned in the

Extension and Community Services;

d. assist the Vice President for Research and Extension in the

formulation of policies and guidelines for the operation of the

office;

e. prepares the budget, expenditures and annual procurement

plan of the Office, and shall represent the Office in the

Administrative Council/Executive Meetings/Conferences;

f. provides effective liaison between the University and community,

other educational institutions, organizations and foundations,

and local government units (LGUs);

g. source out funds from donations and grants-in-aid for the

support of the extension activities of University;

h. initiates and innovates efficient extension delivery system to

transfer technologies to the community;

i. ascertains that actual expenditures are in accordance with the

authorized appropriations of allotments;

j. prepares and submit periodic reports;

k. designs and conducts, in-house reviews, livelihood and

professional trainings in the dissemination of technologies;

l. recommends the use and disbursement of funds allocated to ECS

under her direct supervision for approval; and

m. do other functions that the President or The Board of Regents

may assign.

The ASU Code 29


The ASU Code 29


Article 40. The Director of Training Services

Section 1. The Director of Training Services shall be designated/appointed by the

Board of Regents upon the recommendation of the President. He/she

shall be designated for a term of two (2) years without prejudice to

renewal for another two(2) years. However, the designation/


Section 2. The Director for Training Services is directly responsible to the Vice

President for Research and Extension.

Section 3. The functions of the Director for Training Services are as follows:

a. provides overall administration and management of personnel,

financial, equipment and facilities of the Training Services Unit;

b. provides leadership in program planning and implementation of

various training programs and services, and capacity building

activities of the University;

c. leads in the preparation of annual budget, manpower and

material requirements;

d. coordinates various colleges/schools, academic and service

centers of the University so to have need based and multi

sectoral training programs;

e. establishes linkages in the development of training service

prototypes, implements special trainings courses and secures

financial support;

f. spearheads in the formulation and adoption of training service

handbook, courseware’s and manuals;

g. prepares and submits quarterly and annual reports to the

President thru the VP for Research and Extension; and

h. performs other duties as directed by the President and higher

authorities.

Article 41. The Director of Information and Communication Technology Services

Section 1. The Director of Information and communication Technology Services

shall be designated/ appointed by the Board of Regents upon the

recommendation of the President. He/she shall be designated for two

(2) years without prejudice to renewal for another two (2) years.

However, the designation/appointment could be withdrawn anytime for

a cause.

Section 2. The Director of Information and Communication Technology Services is

directly responsible to the Vice President for Research and Extension.

Section 3. The functions of the Director of Information and Communication and

Technology Servicers are as follows:

a. prepares and submit plan and budget of the Aklan State

University – Information Communication Technology to the

President and for resourcing of funding;

The ASU Code 30


The ASU Code 30


b. coordinates with Vice Presidents, Executive Directors, Directors,

Deans and Department Heads in setting up the ICT center

connecting it to the different departments, offices and campuses;

c. oversees and supervise the implementation of the ICT

Development Plan;

d. Facilitates the activities of external experts and consultant to

assist the ICT Staff, develop infrastructure design, Local Area

Network, Wide Area Network, Internet Café, Virtual Classrooms

and University Website

e. develops guidelines and procedures to integrate electronic

multimedia materials in instruction, research, extension and

production programs of the University;

f. creates and introduces programs, policies and procedures

regarding the efficient, effective and sustainable operations of

ICT facilities; and

g. develops project proposal for fund resource generation to put

up the ICT Center;

h. identifies potential faculty and assist them to build the capability

of the Aklan State University to implement the e- Commerce and

E-Governance;

i. directs, supervises and monitors the activities of ICT staff to

implement E-Learning and E-Commerce programs of the

university;

j. attends seminars and conferences to upgrade knowledge for

building the Aklan State University’s capability to integrate

curricular programs with information technology;

k. participates in administrative and council meetings, and update

information posted in the University’s Website;

l. identifies issues and problems that need attention to improve

services of the ICT Center;

m. conducts short-term training and workshop to enhance faculty

and students skills using ICT facilities such as Internet Café,

Virtual Classrooms and Electronic Multimedia Teaching Materials;

n. conducts inventory of ICT facilities, and submit monthly and

annual reports;

o. recommends the use and disbursement of funds allotted to ICT

Center under his/her direct supervision for approval; and

p. performs other duties as directed by the President and higher

authorities.

The ASU Code 31


The ASU Code 31


Article 42. The Director of Student Affairs

Section 1. The Director of Student Affairs shall be designated/appointed by the


shall be designated for a term of two (2) years without prejudice to

renewal for another two (2) years. However, the designation/


Section 2. The Director of Student Affairs is directly responsible to the Vice

President for Academic Affairs.

Section 3. The functions of the Director for Student Affairs are as follows:

a. assists the President in the formulation and implementation of

policies relating to student welfare;

b. helps the University in setting up a well-balanced program of

student admission and retention;

c. plans /supervises students affairs and services related to: Student

Personnel Development Program, Organizational Structure of

Student Personnel Services, Budget for Student Personnel

Services and Guidance Programs, Placement Services, Records

Job Opportunities, Student Loans/Financial Assistance, Student

Trainings, Medical/Dental and others;

d. initiates the conduct of co-curricular programs;

e. sets accreditation policies on campus organization and keeps a

directory of corresponding faculty advisers;

f. recommends the use and disbursement of allotted funds for OSA

under his direct supervision for approval; and

g. to performs such other functions that may be assigned by the

Vice President for Academic Affairs and or the President of the

University.

Article 43. The Director of Admission and Registrarship

Section 1. The Director of Admission and Registrarship is directly responsible to

the Vice President for Academic Affairs. He/she shall be responsible for

the implementation of the admission policies of the Academic Units of

the University and maintain systematic filling and safekeeping of

academic records and the issuance of these when needed.

Section 2. He shall supervise the Offices of Registrar in the University and

introduce systems that would promote the efficiency and effectiveness

of the office.

Section 3. The functions of the Director of Admission and Registrarship:

a. prepares budget and annual procurement plan of the office and

shall represent the Office in academic/administrative council

meetings/conferences;

b. chairs Registrar ‘s and School/College Secretary with regards to

admission and registrarship;

The ASU Code 32


The ASU Code 32


c. assists the Vice President for Academic Affairs in the formulation,

and implementation of policies and guidelines in the admission

and registrarship programs in coordination with the Deans/

Directors and heads of concerned units;

d. establishes automated and digital admission and registrarship,

network among the schools/colleges of the University for easy

access data banking and retrieval of information such as issuance

of the transcript of records, certification, authentication, and

verification of students credentials;

e. ascertains that actual revenue collection and expenditures of the

office are in accordance as the authorized appropriations and

allotment following the government accounting and auditing

rules and regulations;

f. assists the Vice President to source funds from donations and

grants-in-aid for the support activities of the University; and

g. to perform such other functions that maybe assigned by the Vice

President for Academic Affairs and or the President of the

University

Article 44. The Director of Curriculum and Instruction

Section 1. The Director of Curriculum and Instruction shall be designated by the

Board of Regents upon the recommendation of the President of the

University. He/she shall be designated for a term of two (2) years

without prejudice to renewal for another two (2) years. However, the


Section 2. The Director for Curriculum and Instruction is directly responsible to the

Vice President for Academic Affairs.

Section 3. He shall assist the Vice President for Academic Affairs in the

development and evaluation of the curriculum, coordination and

monitoring of instruction and other academic activities of the different

academic units in the University.

Section 4. The functions of the Director of Curriculum and Instruction are the

following:

a. assists the Vice President for Academic Affairs in the review,

revision and evaluation of the curriculum and instructional

programs;

b. formulate policies and guidelines in the review, revision and

implementation of the curriculum and instructional programs of

the University in coordination with the Vice President, Dean,

Executive Directors and other heads of units;

c. initiates, formulates and supervises the planning, monitoring and

evaluation in the implementation of the Curriculum and

instructional programs of the University in coordination with the

Vice Presidents, Deans, Executive Directors and other heads of

The ASU Code 33


The ASU Code 33


units;

d. chairs the University Curriculum and Instructional Coordinators

and Committees;

e. prepares budget and annual procurement plan of the Office and

shall represent the office in the Administrative Council/Executive

Meetings;

f. recommends the use and disbursement of funds allotted to

Curriculum and Instruction under his/her direct supervision for

approval; and

g. do such other functions that may be assigned by the Vice

President for Academic Affairs and or the President of the

University.

Article 45. The Director of Library

Section 1. The Director for Library shall be designated/ appointed by the Board of

Regents upon the recommendation of the President. He/she shall be


two (2) years. However, the designation/appointment could be


Section 2. The Director for Library is directly responsible to the Vice President for

Academic Affairs.

Section 3. The functions of the Director of Library and Information Technology

are the following:

a. assists the Vice President for Academic Affairs in the formulation

of policies and guidelines in operation of the Library;

b. represents the office in the Administrative Council Meetings;

c. prepares budget and annual procurement plan of the Office and

affixes initials to ascertain that the actual expenditures are in

accordance with the authorized appropriations or allotments;

d. coordinates the planning, monitoring and implementing of the

projects and programs in all schools/colleges/units of the

University in coordination with the Deans, Directors and Unit

Heads.

e. prepares periodic reports to be submitted to the Vice Presidents

for Academic Affairs who shall recommend to the Office of the

University President for approval;

f. supervises, monitors and evaluates the personnel assigned in the

office;

g. establishes the computerization program and electronic

networking of the library and reading centers of the schools/

colleges/centers of the University and formulate guidelines for its

operation;

h. recommends the use and disbursement of funds allotted to the

The ASU Code 34


The ASU Code 34


Library under his direct supervision for approval; and

i. performs such other functions that may be assigned by the Vice

President for Academic Affairs and or by the President of the

University.

Article 46. The Director of National Service Training Program

Section 1. The Director of National Service Training Program shall be designated/

appointed by the Board of Regents upon the recommendation of the

President. He/she shall be designated for two (2) years without

prejudice to renewal for another two (2) years. However, the


Section 2. The Director of National Service Training Program is directly responsible

to the Vice President for Academic Affairs.

Section 3. The functions of the Director of National Service Training Program are

as follows:

a. represents the department in the exercise of academic and

administrative supervision in the design, formulation, adoption

and implementation of the different NSTP components offered in

the University.

b. prepares and submit periodic reports to CHED, TESDA and DND

(through the Major Service Command) in consonance with R.A.

9163 (Sec. 8, para d);

c. recommends to the Board of Regents thru the Office of Budget

Planning and Development for programs and activities including

facilities for the effective and efficient implementation of the

program;

d. coordinates with other offices on matters relating to NSTP for

final actions and approval prior to implementation of all

concerned offices and agencies; and

e. performs other duties for effective and efficient implementation

of the National Service Training Program as needed.

Article 47. The Director of Administrative Services

Section 1. The Director of Administrative Services shall be designated by the


shall be designated for two (2) years without prejudice to renewal for

another two (2) years. However, the designation could be withdrawn

anytime for cause.

Section 2. The Director of Administrative Services is directly responsible to the Vice

President for Administration.

Section 3. The functions of the Director of Administrative Services are as follows:

a. supervises, monitors and evaluates the operations and personnel

of the Human Resource and Management Office, Records Office,

Supply Office, General Services, and Security Services for efficient

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The ASU Code 35


delivery of services to all units of the University;

b. ascertains and certifies that actual expenditures of the Offices/

services under his/her supervision are necessary and in

accordance with authorized appropriations and allotments

following the government accounting and auditing rules and

regulations;

c. provides administrative support services to all units of the

University to attain the goals and objectives of these units;

d. provides effective liaison among the University units, and

between the community , other educational institutions and

government and non-government organizations;

e. prepares and plans budgetary allocations of the units under his/

her direct supervision;

f. prepares and submit periodic reports to the Vice President for

Administration for submission to the BOR, CSC, DBM, Congress

and other government instrumentalities;

g. formulates policies and guidelines for approval regarding the

operation of the Offices under his/her direct supervision;

h. supervises the Management Information System (MIS) of the

Administrative Services units;

i. represents the Administrative Services Units in the Administrative

and Academic Council official meetings and conferences within

and outside the University; and

j. performs such other functions as may be assigned by the Vice

President for Administration or the President of the University.

Article 48. The Director of Finance Services

Section 1. The Director of Finance Services shall be designated/appointed by the



another two (2 years. However, the designation/ appointment could be


Section 2. The Director of Finance Services is directly responsible to the Vice

President for Administration.

Section 3. The functions of the Director of Finance Services are as follows:

a. recommends policies for the improvement and direction of the

financial service functions of the University;

b. develops policies and procedural guidelines for uniform

application of the University towards the attainment of effective,

efficient, economical and work-simplified targets of the financial

services unit;

c. evaluates the outcomes and make adjustments in the Finance

and Management System;

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The ASU Code 36


d. reviews, consolidates and submit monthly trial balances of the

different accounts and other accountability reports for

submission to concerned offices;

e. reviews, consolidate and submit year end financial reports for

submission to DBM, COA and GAFMIS and others;

f. attends ADCO meetings, FSDC meetings, PRAISE Committee

meetings, Executive meetings and budget hearings;

g. coordinates and assists the Vice Presidents, Executive Directors,

Deans, Directors and Unit Heads in the preparation of budget

estimates and/or budget proposals;

h. supervises the work of the accounting and budget offices; and

i. performs such other functions as may be assigned by the Vice

President for Administration or the President of the University.

Article 49. The Director of Physical Plant Development Services

Section 1. The Director of Physical Plant Development Services shall be


recommendation of the President. He/she shall be designated for two

(2) years without prejudice to renewal for another two (2) years.

However, the designation/ appointment could be withdrawn anytime for

a cause.

Section 2. The Director of Physical Plant Development Services is directly

responsible to the Vice President for Administration.

Section 3. The functions of the Director of Physical Plant Development Services

are the following:

a. prepares budget and annual procurement plan of the Office and

shall represent the Office in the Administrative Council/Executive

Meetings;

b. supervises the planning, monitoring and implementing of the

approved projects and programs including repair/rehabilitation

and construction of buildings, roads, etc. in all campuses of the

University in coordination with the Executive Directors/Campus

Heads. The periodic reports shall be submitted directly to the

Office of Vice President for Administration, who shall

recommend to the Office of the University President for

approval;

c. supervises, monitors and evaluates the functions and outputs of

the personnel that may be assigned to the office;

d. reviews, revises, supervises and evaluates campus plans in

coordination with the Executive Director/Campus Heads;

e. ascertains that actual civil works and ground maintenance

expenditures is in accordance as the authorized appropriations

and allotment following the government accounting and

auditing rules and regulations;

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The ASU Code 37


f. assists the Vice President for Administration in the formulation of

campus development and management policies for approval;

g. chairs the campus planning officers of the University campuses

at Banga, Kalibo, New Washington, Makato and Ibajay and

committees in coordination with the Executive Directors, Deans,

Directors and unit heads;

h. prepares and submits periodic reports to the Vice President for

Administration;

i. assists the University in sourcing donations and grants-in-aid

support for the civil works and campus physical maintenance;

j. recommends the use and disbursement of funds allocated to

PPDS under his direct supervision for approval;

k. performs such other functions as may be assigned by the Vice

President for Administration and or the President of the

University.

Article 50. The Director of Monitoring and Evaluation

Section 1. The Director of Monitoring and Evaluation shall be designated by the



another two (2) years. However, the designation/ appointment could be


Section 2. The Director of Monitoring and Evaluation is directly responsible to the

President of the University.

Section 3. The functions of the Director of Monitoring and Evaluation are as

follows:

a. prepares organizational structure, manual of operation, annual

procurement plan, strategic and action plans and shall represent

the office in the Administrative Council/Executive meetings;

b. supervises the planning, monitoring and evaluating of the

university programs implemented in all campuses and units, and

design a control system and feedback process to support the

programs;

c. reviews policies and evaluates units planned program in

coordination with Deans, Directors and unit heads, and submits

directly to the Office of the Presidents periodic reports and

recommendations based on the analysis of the overall

development for action;

d. supervises personnel assigned to the office;

e. coordinates and integrates all unit plans and studies undertaken

by the different functional groups (Instruction, Research,

Extension and Production);

f. consolidates semestral/annual accomplishment reports and

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The ASU Code 38


other development planning documents;

g. prepares Annual Accomplishment Report;

h. promotes participatory development planning, monitoring and

evaluation in all units of the University;

i. chairs the M & E chairpersons of Schools/Colleges of the

University; and

j. performs other duties and functions as may be assigned by the

University President and Board Regents.

Article 51. The Director of Alumni and Public Relations

Section 1. The Director of Alumni and Public Relations shall be designated by the


University. He shall be designated for two (2) years without prejudice to

renewal for another two (2) years. However, the designation could be


Section 2. The Director for Alumni and Public Relations is directly

responsible to the President of the University.

Section 3. The functions of the Director for Alumni and Public Relations are as

follows:

a. takes charge of the alumni and public relations functions of the

University;

b. keeps records of the alumni and establishes linkages with them

through communications and publications;

c. prepares and makes representations of the Office of the

President of the University to its many social functions;

d. brings the Office of the President of the University to the people

through broadcast and print media;

e. coordinates with the different units of the University for their

needs related to alumni and public relations; and

f. performs such other functions that maybe assigned by the

higher authorities.

Article 52. The Executive Assistant

Section 1. The Executive Assistant shall be appointed/ designated by the Board of

Regents upon the recommendation of the President.

Section 2. His/her tenure shall be for a period of two (2) years without

prejudice to re-designation/ re-appointment for another two (2) years.

However, the designation/appointment could be withdrawn anytime for

cause.

Section 3. The duties and functions of the Executive Assistant are as follows:

a. supervises the staff of the Office of the President in a variety of

administrative and technical duties which assist the University

President in reaching or implementing substantial decisions;

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The ASU Code 39


b. exercises general responsibility, through other University Officials

for advising and assisting the University President in the

execution of policies of the University;

c. directs work so as to contribute as effectively as possible to

decision-making of the University President and the Vice

Presidents;

d. conducts studies necessary to determination of action or policy;

e. gives expert advice and assistance in particular areas of

specialization;

f. consults with the University officials on mutual problems;

g. advises on policy based on precedence and experiences;

h. takes recommendatory action on variety of matters in

accordance with law;

i. receives person seeking assistance or advocating certain actions,

hears request and takes action to comply or explain why request

cannot be granted after consultation with the University

President;

j. serves as Information and Public Relation Officer (PRO) of the

University;

k. receives special assignment and calls for special coordination

and contact with government agencies and linkages;

l. prepares memoranda on matter being considered by executive

bodies and acts to implement the decisions reached;

m. assigns work to subordinate personnel, gives instructions on

work methods and procedures, revises finished work and

recommends actions for conformance to established policies,

precedents, and regulations;

n. approves, monitors and evaluates the Daily Time Records (DTR)

and Locator Slips of the staff members in the Office of the

President;

o. recommends and issues with initials the travel authority of the

staff members in the Office of the President;

p. supervises and evaluates the performance of the staff members

in the Office of the President;

q. prepares the procurement plan and recommends the purchase

of equipment and services needed by the Office of the University

President;

r. performs such other functions that may be assigned by the

higher authorities.

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The ASU Code 40


Article 53. The University Legal Counsel

Section 1. The University Legal Counsel shall be designated/ appointed by the


University.

Section 2. The functions of the University Legal Counsel are as follows:

a. provides legal assistance and advice to the President of the

University;

b. executes and reviews contracts and other legal documents for

the University;

c. assists the President on administrative cases involving personnel

of the University; and

d. represents the University in courts when legal actions are

initiated for or against the University and its instrumentalities.


Section 1. The Academic personnel of the University shall constitute the faculty of

the University. It shall consist of the President, Vice Presidents,

University/Board Secretary, Executive Directors, Deans, Directors,

Department Heads, Professors, Associate Professors, Assistant

Professors, Instructors, Lecturers, and Visiting Academic Staff.

Section 2. The Academic non-teaching personnel are those members

of the School/ College, Unit, Department or Program who are not

performing the teaching function. This includes librarians, guidance

counselors, research specialists, statisticians, extension specialists,

technologists, and their associates and assistants as well as heads of

units, departments, and programs performing supportive and non-

teaching functions.

Section 3. The University personnel also include clerical positions and other 1st and

2nd level positions not mentioned in Section 2 of this Article.

Article 55. Conditions of Employment

Section 1. The Board, upon the recommendation of the President based on

pertinent laws, lawful orders, circulars, and memoranda, shall fix the

compensation of all members of the academic and non-academic

personnel of the University.

Section 2. The members of the academic faculty shall be classified as regular and

non-regular.

Section 3. The regular members of the faculty are those with plantilla items. They

shall include the following:

a. University Professor;

b. College Professor;

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The ASU Code 41


c. Professor;

d. Associate Professor;

e. Assistant Professor;

f. Instructor.

Section 4. The non-regular members of the faculty are those teaching without

plantilla positions. Their appointment should not warrant any right to re

-appointment, much less to indefinite tenure.

Article 56. Qualifications.

Section 1. All appointments to the faculty shall be made strictly on the basis of

merit and fitness. Religious, political, fraternal or social opinions or

affiliations shall never be used as basis of appointment.

Section 2. The employment of the faculty and staff, shall be based on the approved

Merit Promotion Plans of the University.

Section 3. Faculty appointees must possess the minimum qualifications as

stipulated in the CSC Qualification Standards (QS).

Section 4. Members of the faculty shall be exempted as such from any civil service

examination or regulation as a requisite for original appointment.

Section 5. All appointments to the non-teaching staff positions shall be strictly in

accordance with the Civil Service Commission qualification standards.

Article 57. Hiring

Section 1. The Human Resource Management Office (HRMO) shall conduct

preliminary evaluations of the qualifications of all candidates in

consideration of performance, education and training, experience and

other accomplishments, psycho-social attributes and personality traits

and potentials. Those initially found qualified shall undergo further

assessment such as written examination, skills test, interview and others.

Section 2. The Human Resource Management Office (HRMO) shall submit the

selection line up which reflects the comparative competence and

qualifications of candidates to the Personal Selection Board for

deliberation en banc.

Section 3. Appointment to the following positions shall no longer be screened by

the Personnel Selection Board (PSB):

a. Substitute appointment due to their short duration and

emergency nature. However, should the position be filled by

regular appointment, candidates for the position should be

screened and passed upon by the PSB

b. Appointment of faculty members and academic staff who belong

to the closed career service

c. Appointment to entry laborer positions and

d. Renewal of temporary appointment issued to the incumbent

personnel.

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The ASU Code 42


Section 4. The Personnel Selection Board (PSB) shall make a systematic assessment

of the competence and qualifications of candidates for appointment to

the corresponding level positions. They evaluate and deliberate en

banc the qualifications of those listed in the selection line-up.

Section 5. The Personnel Selection Board (PSB) shall submit the list of candidates

recommended for appointment from which the appointing authority

shall choose the applicant to be appointed. The list of recommended

candidates should specify the top five ranking candidates whose over

all points scores are comparatively at par.

Section 6. The appointing authority shall assess the merits of the PSB’s

recommended for appointment and in the exercise of sound discretion,

select, in so far as practicable, from among the top five ranking

applicants deemed most qualified for appointment to the vacant

position.

Article 58. Promotion

Section 1. The HRMO or its duly authorized representative shall announce all

vacant positions to be filled and the qualifications required for each

position.

Section 2. The HRMO shall, in accordance with the system of ranking positions and

qualification standards, identify other employees within the University

who are deemed qualified and competent for promotion, together with

the incumbents of positions who are identified as next-in-rank.

Section 3. The HRMO shall make preliminary evaluation of the qualification of

candidates and shall submit to the Selection/Promotion Board the list of

all candidates for promotion to the vacancy. Other employees who feel

they are competent and qualified but not included among the next-in-

rank, may submit their names to the Selection/Promotion Board for

consideration and assessment.

Section 4. The Selection/Promotion Board shall then evaluate the qualification of

those employees included in the promotional line-up, determine the

most competent and qualified candidate for promotion, and

recommend to the President the employee who may fill up the vacancy.

Section 5. The appointing authority shall assess the merits of the PSB’s

recommendation for appointment and in the exercise of sound

discretion, select or in so far as practicable, from among the top five

ranking applicants deemed most qualified for appointment to the vacant

position.

Section 6. The appointing authority may appoint an applicant who is not next-in-

rank but possess superior qualification and competence, and has

undergone selection process.

Section 7. The comparative competence and qualification of candidates for

appointment shall be determined on the basis of:

a. Performance – this shall be based on the last two performance

ratings of the employee. No employee shall be considered for

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The ASU Code 43


promotion unless the last two performance ratings are very

satisfactory.

1. For appointment by promotion, the performance rating of

the appointee for the last rating period prior to the effectivity

date of the appointment should be at least very satisfactory .

2. For appointment by transfer, the performance-rating period

immediately preceding the transfer from the former office or

agency should be at least very satisfactory.

b. Education and Training – these shall include educational

background and the successful completion of training courses,

scholarships, training grants and others, which must be relevant

to the duties and responsibilities of the position to be filled.

c. Experience and Outstanding Accomplishments – these shall

include occupational history, work experience and

accomplishments worthy of special commendation.

d. Psycho-Social Attributes and Personality Traits – these refer to

the physical fitness, attitudes and personality traits of the

employee which must have some bearing on the position to be

filled.

e. Potential – this refers to the employee’s capability to perform not

only the duties and responsibilities of the position to be filled,

but also those of higher and more responsible positions.

Section 8. An employee may be promoted or transferred to a position which is not

more than three (3) salary, pay of job grades higher than the employee’s

present position except in very meritorious cases, such as; if the vacant

position is next-in-rank as identified in the System of Ranking Positions

(SRP) approved by the head of agency, or lone or entrance position

indicated in the agency staffing pattern.

Section 9. An employee should have rendered at least very satisfactory service for

the last rating period in the present position before being considered for

promotion.

Section 10. An employee who is on local or foreign scholarship or training grant or

on maternity leave may be considered for promotion.

For this purpose, performance rating to be considered shall be the rating

immediately prior to the scholarship or training grant or maternity leave.

If promoted, the effectivity date of the promotional appointment shall

be on the assumption to duty.

Section 11. Promotion within six (6) months prior to compulsory retirement shall not

be allowed except as otherwise provided by law.

Section 12. A notice announcing the appointment of an employee shall be posted in

three conspicuous places in the agency a day after the issuance of the

appointment for at least fifteen (15) calendar days.

Section 13. The approved agency Merit Selection Plan shall be used as one of the

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The ASU Code 44


bases for the continued exercise to take final action on appointments.

Section 14. Promotion may be from one department or agency to another or from

one organizational unit to another in the same department or agency.

Section 15. An employee who holds a next-in-rank position and is considered the

most qualified and competent; who possesses the appropriate civil

service eligibility, and meets the other conditions for promotion shall be

considered to the higher position in case of vacancy.

Section 16. In the event of changes in the organization structure or occupational

grouping, the line of promotion shall be determined on the basis of the

new organizational grouping.

Section 17. Civil service awards and other awards for outstanding accomplishments

shall be given due consideration.

Section 18. In cases where the qualifications of employees are comparatively equal,

preference shall be given to the employee in the organizational unit

where the vacant position exists. In case all things are still equal,

seniority in the job or functionally related jobs shall be considered.

Section 19. A next-in-rank employee who is qualified and competent may not be

promoted if he/she waives the new assignment as a result of the

promotion because of geographical location. The vacancy may be filled

by one who may not be next-in-rank but qualified, competent and

willing to accept the new assignment.

Section 20. No other civil service eligibility shall be required for promotion to a

higher position in the same level of the career service and within the

same or functionally related grouping of positions. Agencies shall not

be precluded from prescribing their own internal standards for purposes

of promotion.

Section 21. When an employee has a pending administrative case, he/she shall be

disqualified for promotion during the pendency thereof. If he/she is

found guilty, he/she shall be disqualified from promotion for a period

based on the penalty imposed by the appointing authority.

Section 22. When an employee who is entitled to promotion has a pending

administrative case, the position to which he/she is proposed shall not

be filled until after the administrative case shall have been finally

decided. However, when the exigencies of the service so require, then it

shall be filled by temporary appointment to end as soon as the

employee entitled to it is exonerated.

Section 23. An appointment, though contested, shall take effect immediately upon

its issuance, if the appointee assumes the duties of the position and the

appointee is entitled to receive the salary attached to the position.

However, the appointment, together with the decision of the University

Head shall be submitted to the Civil Service Commission for appropriate

action within thirty (30) days from the date of its issuance otherwise, the

appointment shall become ineffective thereafter. Likewise, such an

appointment shall become ineffective in case the protest is finally

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The ASU Code 45


resolved in favor of the protestee, in which case he/she shall be reverted

to his/her former position.

Article 59. Appointment

Section 1. Based on approved recommendation, the appointee accomplishes the

Personal Data Sheet (PDS) in three (3) copies. The HRMO shall

thoroughly review and see to it that all questions are answered

completely and duly signed by the appointee with his/her right thumb

mark affixed in the box provided and his/her residence certificate

indicated therein.

Section 2. The HRMO prepares the appointment in prescribed PDS (Form 33) in

four (4) copies. The issuance of the appointment shall not be earlier

than the date of final screening/deliberation of the selection/promotion

board.

Section 3. The Human Resource Management Office/Administrative Officer shall

certify that all requirements and supporting papers have been complied

with reviewed and found to be in order. A copy of the recommendation

of the Selection/Promotion Board duly signed by all the members shall

be attached to the appointment.

Section 4. The Chairperson of the Selection/Promotion Board then certifies that the

appointee has been screened and found qualified by the Board.

Section 5. The appointment papers with salary grade 14 and below are then

forwarded to the President for approval subject to the BOR

confirmation. Appointment with Salary Grade 15 and above is submitted

to the President for recommendation to the BOR for their approval;

Section 6. Approved appointments are transmitted to the Civil Service Commission

(CSC) within 30 days from date of affectivity for audit.

Section 7. No prospective appointee shall assume office unless his/her

appointment is approved by the President or by the BOR.

Section 8. An appointee shall be given a copy of the approved appointment which

shall remain valid and effective until disapproved by the CSC.

Article 60. Change of Status

Section 1. A temporary appointee upon qualification in an appropriate civil service

examination may be issued a new appointment by change of status

from temporary to permanent effective not earlier than the date of BOT/

BOR confirmation.

Section 2. For positions under the Trades and Crafts Group and those covered by

Resolution 435, implementing Guidelines of CSC Memorandum Circular

No. 11, s. 1996 should be strictly followed.

Section 3. For appointments involving change of status from temporary to

permanent for purposes of retirement, the following shall be submitted

to the CSC Regional Office concerned:

a. Duly certified statement of service record

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The ASU Code 46


b. Certification as to the last day of actual service of the appointee

Article 61. Compensation

Section 1. Full-time and part-time members of the faculty shall receive

compensation in accordance with existing laws, memoranda and

circulars.

Section 2. Generally, the University does not offer summer classes except for the

Graduate School and Academic Units with summer course offerings

approved by the Board. Faculty members with summer teaching

assignments shall be compensated based on existing laws and policies.

Article 62. Protest

Section 1. Only officers or employees who are qualified next-in-rank on the basis

of the approved Merit Selection Plan may file a protest against an

appointment or a promotion.

Section 2. The protest shall be typewritten on legal size paper and shall have a

caption. The aggrieved party shall be called the “Protestee”. Provided

that where the president, after evaluation, finally decides in favor of the

protester, the protestee who decides to file his/her protest shall be

called the “Protester-Appellant” and the former protester, the “Protester

-Appellee”.

The protester shall identify his/her present position and the

contested position by official title, item number and the calendar year

budget involved. The salary attached to the position and the

organizational unit where the position belongs shall also be indicated.

The protester shall state clearly the grounds for his/her protest and the

reasons why he/she believes he/she should be the one appointed to the

contested position. Failure to file protest within the prescribed period

shall be deemed a waiver of one’s right and no protest thereafter shall

be entertained.

Section 3. Procedure in filing protest

a. The aggrieved party shall file his/her protest in triplicate directly

to the President within fifteen (15) days from the date of the

notice of the issuance of an appointment.

b. The President shall decide the case within thirty (30) days from

receipt of the protest. He/she may refer the case to a person or

group of persons to assist him/her in evaluating the case.

c. The constituted body assigned to study the case shall, within

fifteen (15) days from receipt thereof, evaluate the reasons/

grounds presented by the protestant and submit in writing to

the President its findings and recommendations. The President

shall finally decide the protest within fifteen (15) days.

d. A copy of the final decision of the President shall be furnished

the official or employee affected, within five (5) days from receipt

by the Human Resources Management Officer.

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The ASU Code 47


e. If the aggrieved party is not satisfied with the decision, he/she

may elevate his/her protest to the Civil Service Commission

within fifteen (15) days from receipt thereof.

Article 63. Academic Freedom of Teachers

Section 1. Members of the academic group shall enjoy academic freedom,

provided that along with their academic freedom, they assume

responsibilities deemed inherent to any member of an academic

community.

Section 2. Academic freedom is the right of the teacher to teach the subject of his/

her specialization according to the teachers best interpretation on the

basis of his/her training, experience and perceptions for the good of the

students, peers and the community; to hold, in other subjects such ideas

as the teacher sincerely believes to right, and to express opinions on

public questions in a manner that shall neither interfere with his/her

duties as member of the faculty nor negate his/her loyalty to the

University that employs him/her.

a. the University shall not impose any limitation on the teacher’s

freedom in the classroom and in publications.

b. no teacher has the privilege of discussing in his/her classroom

controversial topics that are not pertinent to the course of study

that is being pursued.

c. the University shall not place any restraint upon the teacher’s

freedom in the choice of subjects for research and investigation

undertaken on his/her own initiative.

d. the University recognizes that the teacher, when speaking or

writing outside of the institution on subjects beyond the scope

of his/her own field of study, is entitled to the same freedom and

is subject to the responsibilities even more than that attached to

all other citizens.

e. the University clearly and definitely assumes no responsibility for

views expressed by members of its academic faculty and staff,

and that the member themselves should always make it clear

that they are expressing only their own personal opinions.

f. if the conduct of a teacher anywhere serves to give rise to doubts

concerning the persons fitness for his/her position, the question

shall always be submitted first to a grievance committee of the

faculty. In no case shall any member of the faculty be dismissed

before normal termination of his/her period of appointment

without a full and open hearing before the Board of Regents

upon sufficient notice, unless he/she expressly waives such right

in writing.

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The ASU Code 48


Article 64. Tenure

Section 1. All academic faculty and staff shall be placed on probation (twelve

months for faculty and six months for non-teaching staff) after which

their performance shall be evaluated by students, peers and immediate

superior. If the performance is rated “very satisfactory” and plantilla

items are available, they shall be recommended for appointment into

permanent status. In case of non-renewal, the person concerned shall

be notified in writing by his/her immediate superior sixty (60) days prior

to the termination of the probation. However, nothing shall be provided

herein that shall deprive a faculty or staff the permanent status already

held at the time of the adoption of this Code.

Section 2. Appointments of the faculty on contractual basis shall be governed by

the terms of the contract and the rules of tenure in this code.

Article 65. Resignation and Transfer

Section 1. No application for resignation and/or transfer presented by any member

of the faculty or staff shall be considered unless notice thereof has been

given to the President through the Director/Dean/Unit Head concerned,

at least ninety (90) days prior to its date of effectivity.

Section 2. No resignation and/or transfer shall take effect during a school term

unless the services of a successor or a temporary substitute shall have

been secured.

Section 3. Resignations due to serious illness or when in the judgment of the

President acceptance of which is in the best interest of the University,

the same can take effect immediately.

Section 4. Acceptance of a resignation and/or transfer does not carry with it any

waiver of the financial and property obligations of the resignee and/or

transferee to the University or from other base agencies. Clearances

issued by the University are not considered absolute but facilitative and

that in the future when misplaced records shall show obligations, the

concerned resignee or transferee is still considered liable.

Article 66. Fellowship Awards

Section 1. Fellowship awards shall be based on the greatest need of and usefulness

to the University. Upon the recommendation of the Faculty and Staff

Development Committee (FSDC), the President shall award the

fellowship to the most able, deserving, and promising faculty member in

the chosen field of study.

Section 2. University fellowship or scholarship shall be granted to deserving faculty

members, preference of which shall be granted in the following order:

a. Instructor

b. Assistant Professor

c. Associate Professor

d. Professor

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The ASU Code 49


Section 3. Members of the faculty who are enjoying fellowship or scholarships

from other entities shall not be eligible for a University fellowship.

Section 4. Any member of the faculty receiving any offer of financial aid from any

person or organization in the form of fellowship assistantships, or other

remunerative employment to enable the grantee to pursue advanced or

special studies locally or abroad must first obtain the approval of the

President of the University before accepting the offer to insure the

continuity of any plan of instruction, research, extension and production

for the unhampered discharge of the various activities of the University.

Section 5. Every candidate for fellowship/assistantship or scholarship shall undergo

thorough physical and medical examinations by a competent physician

to be designated by the President of the University, and those with

symptoms, as might adversely affect their health and impair their

usefulness as students as certified to by the physician, shall be

disqualified.

Section 6. Awardees of fellowship or scholarship shall sign contracts with the

University, binding themselves to the stipulated terms in the contract

and other provisions of the regulatory and sponsoring agencies as

maybe applicable.

Section 7. Awardees of fellowships, assistantships, or scholarships shall be

required to submit semestral progress report to the President and shall

comply with all other requirements as specified in the contract and

approved guidelines.

Article 67. Sabbatical Assignment

Section 1. Sabbatical assignment in the form of study leave and/or exchange

fellowship/professorship with other Colleges, Universities or institutions

may be granted to the faculty or personnel by the Board upon the

recommendation of the FSDC and the President to encourage study,

investigation, research, and writing of books and to improve their

competencies for service to the University.

Section 2. A sabbatical assignment shall be for a period of twelve (12) months. The

period of the assignment shall be based on the judgment of the FSDC

and the President as gleaned from his/her records as teacher,

researcher, extension or administrative worker that can assure the

fulfillment of the purposes of the assignment; provided that the faculty/

personnel has served the University for not less than seven (7)

consecutive years.

Section 3. The faculty member/personnel on sabbatical leave assignment shall

receive full payment of salaries and other emoluments for a total period

of twelve (12) months without prejudice to an extension of six (6)

months without pay.

Section 4. If the sabbatical assignment is to be spent abroad, the University may

provide one-half of the transportation expenses to and from the country

of assignment subject to availability of funds and the existing rules and

regulations. This decision shall be based on the approval of the Board

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The ASU Code 50


of Regents upon recommendation of the President of the University.

Section 5. A faculty/personnel on sabbatical leave shall comply with all the

requirements as provided for in the University guidelines on sabbatical

assignment.

Article 68. Work Load

Section 1. Faculty workload shall consist of teaching (whether lecture or

laboratory). Or a combination of teaching and or several of the

following: extension, production, research, administrative work and

advising or academic related assignments. Provided that no regular

member of the faculty shall teach less than 6 units per semester, with

the exception of the Vice President/Directors/Deans or equivalent heads

of units who have University-wide functions who shall teach at least

three units per semester.

Section 2. The normal workload of each regular faculty of the University shall be

based on the number of preparations per week per semester: 24 units

for one preparation, 21 units for two preparations and 18 units for three

or more preparations. In team teaching the workload units shall be

divided proportionately among the concerned parties.

Section 3. Incidental to the functions of teaching may include the following

activities: 1) lesson preparation; 2) correcting papers, 3) student

consultation, 4) attendance in committee meetings, 5) preparation of

course syllabi, teaching guides, and other related instructional materials.

Section 4. In excess of the normal workload set forth in the preceding section, a

faculty may be paid for overload in accordance with the DBM-approved

formula and/or other existing University policies. No payment of

overload however, shall be made to teaching personnel whose quasi-

teaching assignments are applied to satisfy their required workload.

Section 5. Visiting professors and professionals who are invited to teach in the

University shall be paid by the hour based on the applicable policies and

guidelines.

Section 6. For purposes of computing faculty workload, the following equivalent

workload units and teaching load may be earned:

A. Lecture Hour

1. Graduate

1 ACH = 1.5 units

2. Undergraduate

1 ACH = 1 unit

3. Laboratory High School

1 ACH = 1 unit

B. Laboratory Hours

1. Laboratory High School (THE)

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The ASU Code 51


1 Lab Hour (ACH) = 0.75

2. Undergraduate

1 Lab Hour (ACH) = 0.75

3. Laboratory (Graduate)

1 Lab Hour (ACH) = .1.0

C. In excess of the 40 students per section for lecture/social

laboratory classes and 25 students per section for technical

laboratory classes, a credit load or 0.02 unit per student is

given. In case of graduate program, 30 per lecture and 20 per

technical courses.

Section 7. Assignments of similar nature were faculty is paid shall not earn any

equivalent workload.

Article 69. Related Matters for Academic and Non-Academic Staff

Section 1. Any University personnel is free to see the minutes of the Board’s

proceedings and decisions upon written from the Chairperson of the

Board, thru the University/Board Secretary.

Section 2. Unless otherwise provided by law, no officer or employee shall engage

directly or indirectly in any private business or profession without a

written permission from the head of agency. Provided that this

prohibition will be absolute in the case of those officers and employees

whose duties and responsibilities required that their entire time be at

the disposal of the government: Provided further, that if an employee is

granted permission to engage in outside activities, the time devoted

outside of office hours should be fixed by the head of the agency so that

it will not impair in any way the efficiency of the officer or employee nor

pose a conflict or tend to conflict with the official functions.

Section 3. Any member of the University academic and non-academic staff shall be

allowed to receive honorarium, fees and other endowments not to

exceed 50% of his/her annual salary.

Section 4. Unless expressly authorized by the President, no University personnel

can accept any assignment to any other branch of the government or

private agency.

Section 5. Any University personnel may invite a resource person not officially

connected with the University to give a lecture, talk, or demonstration

on-campus about any subject only after a written permission from the

President or his/her authorized representative has been sought.

Article 70. Open Provision

Section 1. The Board may create such positions and units not included in this code

as the need warrants, based on pertinent legal documents issued by

duly constituted authorities.

Section 2. The Board shall also fix qualifications, compensations, and duties and

responsibilities based on Article 8, Section h of this code.

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The ASU Code 52


Section 3. The Board may abolish such positions and units found irrelevant to the

University functions after proper procedures have been followed.

Article 71. Appointments

Section 1. The Civil Service Law, as well as the rules and regulations pursuant

thereto, as issued by competent authorities such as the prohibition

against nepotism, shall be taken into account, in addition to whatever

measures the Board of Regents may adopt in connection with

appointments to the administrative positions.

Section 2. All regular administrative officers, clerks and other employees shall be

appointed by the President of the University as authorized by the Board

of Regents subject to Civil Service rules.

Section 3. Laborers and other helpers in the administration of grounds and

buildings working on the daily wage basis shall be appointed by the

President. At the time of employment of each person the Director of

Administrative Services shall determine the wage to be paid based on

existing laws, except in cases where the same has been fixed by the

Board of Regents.

Section 4. The Director of Administrative Services shall keep a record of all the

names of persons employed with the corresponding wage paid, time of

employment and length of service for future reference and submission

to the President when so requested.

Section 5. The appointments of all non-teaching personnel shall be audited by the

Civil Service Commission upon recommendation of the Promotion and

Selection Board through the President of the University.

Section 6. All other casual/emergency and contractual employees working on daily

wage shall be appointed by the President upon the recommendation of

the Department Head/Dean concerned.

Article 72. Faculty Directory

Section 1. Members of the faculty and the non-teaching personnel shall fill in every

two (2) years or as frequently as needed, the prescribed form for the

faculty and staff directory to be kept in the Human Resource

Management Office (HRMO). The HRMO shall update its faculty and

staff directory every year.

Article 73. Compensation

Section 1. All non-teaching personnel shall be paid of salaries or wages fixed by

law. They shall be entitled to overtime pay as authorized by law and in

accordance with policies approved by the Board of Regents provided

these services have prior approval by the President as recommended by

Dept Heads/Deans due to exigencies of the service.

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The ASU Code 53


Article 74. General Provisions

Section 1. All officers and employees shall strictly observe the prescribed working

hours. Attendance including those serving in the field or on the water

shall be kept on the proper form and, whenever possible, registered on

the bundy clock.

Section 2. Officers and employees of all departments and agencies except those

covered by special laws shall render not less than eight hours of work a

day for five days a week or a total of forty hours a week, exclusive of

time for lunch. As a general rule, such hours shall be from eight o’clock

in the morning to twelve o’clock noon and from one o’clock to five

o’clock in the afternoon on all days except Saturdays, Sundays and

Holidays.

Section 3. Flexible working hours may be allowed subject to the discretion of the

head of department or agency. In no case shall the weekly working

hours be reduced in the event the department or agency adopts the

flexi-time schedule in reporting for work.

Section 4. In the exigency of the service, or when necessary by the nature of the

work of a particular agency and upon representations with the

Commission by the Department Heads concerned, requests for the

rescheduling or shifting of work schedule of a particular agency for a

number of working days less than the required five days may be allowed

provided that government officials and employees render a total of forty

hours a week and provided further that the public is assured of core

working hours of eight in the morning to five in the afternoon

continuously for the duration of the entire workweek.

Section 5. Off-setting of tardiness or absences by working for an equivalent

number of minutes or hours by which an officer or employee has been

tardy or absent, beyond the regular or approved working hours of the

employees concerned, shall not be allowed.

Section 6. When the interest of public service so requires, the daily hours of work

for officers and employees may be extended by the head of the agency

concerned, which extension shall be fixed in accordance with the nature

of the work provided, the work in excess of eight (8) hours must be

properly compensated.

Article 75. Service Reports

Section 1. All officers and employees shall record their time of service in a daily

time record (Form 48) which will be submitted to the HRMO within 5

working days following the end of the month.

Section 2. The HRMO shall adopt procedures to monitor working hours of the

faculty and employees through the use of bundy clocks, log books,

pass/locator slip or other methods which ever are appropriate. This will

form part of the service reports submitted to the HRMO.

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The ASU Code 54


Article 76. Consultation Hours

Section 1. Each member of the faculty shall be available for consultation at least 5

hours a week during regular office hours. The Dean, in consultation with

the faculty members shall schedule the consultation hours at the

beginning of every term and shall assign the student who will consult

with the teacher at the designated hours and rooms.

Article 77. General Provisions

Section 1. Leave of absence is a right granted to all officers and employees not to

report for work with or without pay as maybe provided by law.

Section 2. In general, all officials and employees of the University whether

permanent, temporary, or casual who render work during the prescribed

office hours shall be entitled to 15 days vacation and 15 days sick leave

annually with full pay exclusive of Saturdays, Sundays, and Public

Holidays, without limitations as to the number of days of vacation and

sick leave that they may accumulate. (Amended by CSC Nos. 41, s. 1998

and 14, s. 1999).

Section 3. Faculty who are designated to perform non-teaching functions and who

render the same hours of service as other employees shall be entitled to

vacation and sick leave.

Section 4. Faculty who are not entitled to the usual vacation and sick leave credits

shall be paid proportional vacation pay (PVP) or 70 days of summer

vacation plus 14 days of Christmas vacation.

Section 5. Faculty members on teacher leave may earn service credits for services

rendered on activities during summer or Christmas vacation, as

authorized by proper authority. These vacation service credits are used

to offset absences of faculty due to illness or to offset proportional

vacation deductions in vacation salary due to absences for personal

reasons or late appointment.

Section 6. The inter-semester break shall be counted as school days, not a vacation

for teachers. This shall be used in preparing materials for the classes in

the succeeding term and in assisting during the registration period.

Section 7. Vacation and sick leave shall be cumulative and any part thereof which

may not be taken within the calendar year may be carried over to the

succeeding years.

Section 8. The Human Resource Management Office shall be responsible for

transforming leave credits from service credits to cumulative vacation

and sick leaves and vice versa based on the existing Civil Service rules.

Section 9. Officials and employees who have accumulated fifteen (15) days of

vacation leave credits shall be allowed to monetize a minimum of ten

(10) days: Provided, that at least five (5) days is retained after

monetization and provided further that a maximum of thirty (30) days

may be monetized in a given year.

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The ASU Code 55


Section 10. Monetization of fifty percent (50%) or more of the accumulated leave

credits may be allowed for valid and justifiable reasons such as:

a. Health, medical and hospital needs of the employee and the

immediate members of the family

b. Financial aid and assistance brought about by force majeure events

such as calamities, typhoons, fire, earthquake and accidents that

affect the life, limb and property of the employee and his/her

immediate family

c. Educational needs of the employee and the immediate members of

his/her family

d. Payment of mortgages and loans which were entered into for the

benefit or which inured to the benefit of the employee and his/her

immediate family

e. Other analogous cases as may be determined by the university.

Section 11. Any official or employee who retires, voluntarily resigns or is separated

from the service and who is not otherwise covered by special law, shall

be entitled to the commutation of his leave credits without limitation

and regardless of the period when the leave credits were earned.

Section 12. Teachers and other school personnel on the teacher’s leave basis who

resigned , retired, or are separated from the service through no fault of

their own shall be paid the money value of their unused vacation service

credits converted to vacation and sick leave credits.

Section 13. When an official or employee transfers from one government agency to

another, he can either have his accumulated vacation and/or sick leave

credits commuted or transferred to his new agency.

Section 14. Leaves of absence may be classified as follows:

a. Vacation leave

b. Sick leave

c. Maternity leave

d. Paternity leave

e. Study leave

f. Rehabilitation leave

g. Parental leave

h. Special leave privileges

Article 78. Vacation Leave

Section 1. Vacation leave of absence is granted for any reason other than illness of

an official or employee or of any members of his immediate family must

be contingent upon the needs of the service. Hence, the grant of

vacation leave shall be at the discretion of the President.

Section 2. The mandatory five-day vacation leave shall be forfeited if not taken

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The ASU Code 56


during the year. However, in cases where the scheduled leave has been

cancelled in the exigency of the service by the head of agency, the

scheduled leave not enjoyed shall no longer be deducted from the total

accumulated vacation leave.

Section 3. All applications for vacation leave of absence for one (1) day or more

shall be submitted on the prescribed form for action by the President or

his authorized representative through the Head of the unit concerned

five (5) days in advance, whenever possible, of the effective date of such

leave.

Article 79. Sick Leave

Section 1. Sick leave shall be granted only on account of sickness or disability of

the employee concerned or any member of his/her immediate family.

Application must be filed immediately upon the return of the faculty or

non-teaching personnel concerned. Such leave in excess of five

consecutive days shall be supported by a medical certificate.

Section 2. All applications for sick leave of absence for one full day or more shall

be made on a prescribed form and shall be filed immediately upon the

employee’s return from such leave. Notice of absence, however, should

be sent to the immediate supervisor and/or to the President.

Application for sick leave in excess of five (5) successive days shall e

accompanied by proper medical certificate.

In ordinary application for sick leave already taken not exceeding five

days, the head of unit may duly determined whether or not the granting

of sick leave is proper under the circumstances. In case of doubt, a

medical certificate may be required.

Article 80. Maternity Leave

Section 1. Maternity leave is granted to all women who has rendered an aggregate

of two (2) or more years of service, shall in addition to vacation and sick

leave granted to her, be entitled to 60 calendar days with full pay.

In the case of those in the teaching profession, maternity benefits can be

availed of even if the period of delivery occurs during the long vacation,

in which case, both the maternity benefits and the proportional vacation

pay shall be received by the teacher concerned.

Section 2. Maternity leave shall be granted to female employees in every instance

of pregnancy irrespective of its frequency.

When a female employee wants to return back to duty before the

expiration of her maternity leave, she may be allowed to do so provided

she presents a medical certificate that she is physically fit to assume the

duties of her position.

Article 81. Paternity leave

Section 1. Paternity leave is granted to married male employee for allowing him

not to report for work for seven (7) days while continuing to earn the

compensation therefore, on the condition that his legitimate spouse has

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The ASU Code 57


delivered a child or suffered a miscarriage, for purposes of enabling him

to effectively lend care and support to his wife before, during and after

childbirth and assist in caring for his newborn child.

Section 2. Paternity leave is granted for the first four (4) deliveries only of his

legitimate spouse with whom he is cohabiting.

The first four deliveries is reckoned from the effectivity of the Paternity

Leave Act on July 15, 1996.

Section 3. Paternity leave of seven (7) days shall be non-cumulative and strictly non

-convertible to cash. The same be enjoyed either in continuous or in an

intermittent manner by the employee on the days immediately before,

during and after the childbirth or miscarriage of his legitimate spouse.

Article 82. Study Leave

Section 1. The study leave shall be granted to faculty and staff who are permitted

to pursue advanced degree courses subject to existing laws and policies.

Article 83. Rehabilitation leave

Section 1. Rehabilitation leave of absence is granted to all officials and employees

on account of wounds or injuries incurred in the performance of duty.

The leave shall be during his period of disability thus occasioned shall be

in full pay, but not to exceed six (6) months. His absence shall not be

charged against his sick leave. Likewise, payment of medical attendance,

necessary transportation, subsistence and hospital fees of the injured

person shall be paid by the University.

Section 2. Application of rehabilitation leave must be in the prescribed form

supported by the proper medical certificate and evidence showing that

the wounds or injuries were incurred in the performance of duty.

Article 84. Special Leave Privileges

Section 1. Special leave privileges is granted to officials and employees except

teachers for a maximum of three (3) days annually over and above the

vacation, sick, maternity and paternity leaves to mark personal

milestones, parental obligations, filial obligations, domestic

emergencies, personal transactions and calamity, accident, and

hospitalization (Sec 20, Omnibus Rules Implementing Book V of EO 292).

Article 85. Parental leave

Section 1. Parental leave of absence for seven (7) is granted to solo parents to

enable them to perform parental duties and responsibilities to minor

children.

Section 2. The solo parents must have rendered government service for at least

one (1) year, whether continuous, or broken and regardless of

employment status.

Section 3. The parental leave shall be availed every year and shall not be

convertible to cash. If not availed of within the year, the said privilege

shall be forfeited within the same year.

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The ASU Code 58


Section 4. Parental leave shall be availed upon submission of application for

parental leave at least one week prior to its availment, supported with

Solo Parent Identification Card from DSWD.

Article 86. Leave Without Pay and Unexplained Absences

Section 1. Leave of absence without pay, not to exceed one (1) year at a time, shall

be submitted to the President at least sixty (60) days before its

effectivity. Leave of absence without pay shall be granted only for a

maximum of one year.

Section 2. In case the leave of absence without pay is applied for by the applicant

who will pursue advanced studies, the President shall direct the unit

Head concerned to submit a written proposal duly verified and certified

on the allotment of the function of the absent faculty member so as not

to interfere with the functions of the University. Corresponding regular

written report on the progress of the absent personnel shall be

submitted to the President.

Section 3. Any academic and non-academic personnel of the University shall be

dropped from the service for unexplained absence of at least thirty (30)

days after the expiration of the period of the leave granted.

Section 4. Leave of absence without pay due to illness may be for an indefinite

period of time but not exceed one (1) year.

Article 87. Special Detail

Section 1. Any member of academic and non-academic staff of the University may

be assigned on special detail with due consultation by the President

subject to the approved policies of the University.

Section 2. Persons given such special detail shall submit a complete and detailed

report within thirty (30) days after their return to duty.

Article 88. Suspension and Removal

Section 1. Any member of the academic or non-academic personnel of the

University may be suspended or removed from the service in accordance

with existing laws.

Section 2. The President may suspend or remove any academic or non-academic

personnel only for cause as recommended by the Grievance Committee

of the University which holds jurisdiction over academic and non-

academic complaints against any personnel of the University based on

written and sworn information.

Section 3. The decision of the President to suspend or remove university personnel

based on the recommendation of the Grievance Committee is appealed

to the Board within thirty (30) days from receipt of the notice by the

aggrieved party of which such appeal shall be acted upon by the Board

within a period of thirty (30) days upon receipt.

Section 4. The composition of the Grievance Committee shall be in accordance

with law and shall be updated every even-numbered year by the

President and duly confirmed by the Board.

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The ASU Code 59


Article 89. Study Privileges

Section 1. Subject to the policies promulgated by the Board, member of the

academic and non-academic personnel who is not on study leave shall

have the privilege of enrolling at the University for not more than nine

(9) units a semester/summer with exemption from payment of tuition

and laboratory fees.

Section 2. Any personnel of the University who is on study leave who enrolls in any

course within the University, must secure a written approval from the

President. Permission shall be granted to personnel whose performance

is “Very Satisfactory” with exemption from payment of tuition and

laboratory fees.

Section 3. Any personnel of the University who is on study leave who enrolls

outside the University on his/her own expense must secure a written

approval from the President.

Section 4. Dependent children of University personnel with permanent status shall

be entitled to exemption from payment of tuition fees collected by the

University when enrolled in the University except in the Graduate School.

Article 90. Insurance and Retirement

Section 1. All University personnel who qualify to the Government Social Benefit

membership shall participate in the insurance and retirement programs

as governed by existing laws and policies.

Section 2. Retired University personnel shall continue enjoying the University

library privileges and receiving University publications. As determined

by the Board, they shall also be entitled to such other privileges and

benefits granted by the University to its retirees.

Section 3. A retired professor who has rendered at least fifteen (15) years of

uninterrupted active and faithful service to the University and has shown

marked distinction as a productive scholar, scientist or educator, or is

widely acknowledged as an effective and dedicated teacher may be

appointed professor emeritus; provided that the head of the unit and

the ranking professors in his/her discipline in the University to which

such professor belonged recommend, by unanimous vote and with a

written justification, his/her appointment to the President who, in his/her

discretion, may submit the recommendation to the Board for approval.

Article 91. Merit and Awards

Section 1. The University personnel shall be entitled to the following awards:

a. Loyalty Award – to be given at the time of retirement provided

the retiree will retire at the age of sixty (60) years old and above

and with at least 15 years of continuous and satisfactory service

in the University.

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The ASU Code 60


b. Service Award – to be given after ten (10) years of service and

every five (5) years thereafter.

Section 2. There shall be a committee on awards to administer the merit and

awards system.

Article 92. Organizations and Associations

Section 1. Any organization or association of Aklan State University personnel

seeking University recognition shall submit to the President for approval

a copy of its Constitution and By Laws and shall be subject to reasonable

conditions prescribed by the President and approved by the Board.

Article 93. Flow of Communications

Section 1. All official communications of the members of the academic and non-

academic staff of the Aklan State University and its campuses sent to the

President, Board of Regents or any of its member shall be coursed

through the Unit Head concerned and vice versa.

Section 2. In emergency cases, communications may be sent directly to higher

authorities, copy furnished the Unit head concerned. The person

addressed to may respond in like manner.

Section 3. In urgent cases, follow up of communications may be made through

proper authorities.

Article 94. Supervision of Buildings and Grounds

Section 1. The University motor pool shall be under the immediate supervision of

the Director for Administrative Services.

Section 2. The Director for Administrative Services shall supervise the employees

and utility workers under the general administration who are assigned to

the upkeep and maintenance of grounds and buildings.

Article 95. Use of Buildings and Grounds

Section 1. The Vice President for Academic Affairs shall schedule the use of

classrooms in the buildings of the University upon consultation with the

Deans, Directors or Unit Head Concerned.

Section 2. Except those specifically provided by law, only recognized organization

or associations in the University with prior request and approval from

the President or his duly authorized representative, have the privilege of

using a building or room or any property of the University.

Section 3. Recognized organizations or associations in the University are those

whose members are students, alumni and academic or non-academic

staff of the University duly registered under the Office of the President.

Section 4. The use of any building or premises by outside individuals or

organizations shall be in accordance with the rules promulgated by the

President and confirmed by the Board.

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The ASU Code 61


Article 96. Custodianship of Buildings and Facilities. The Supply Officer shall be the

custodian of all buildings and facilities of the University. He/she shall be under

the supervision of the Vice President for Administration.

Article 97. Responsibility over University’s Property

Section 1. University properties for use in the different units shall be covered by

memorandum receipts signed by the personnel concerned and noted by

the Unit Head. Memorandum receipts can be issued only to University

personnel with plantilla positions.

Section 2. No one shall take from the buildings or grounds any University property

for private or public use without written approval of the Head of Unit

concerned or of the Vice President for Administration.

Section 3. Control and safekeeping of instructional facilities, materials, and

equipment shall be centralized. Said items may be availed of in

accordance with existing rules of the University.

Section 4. Clearance of property responsibility is effected only by transfer of

memorandum receipts to another University personnel.

Article 98. Use and Operation of Motor Vehicles

Section 1. All motor vehicles owned and operated by the University except the one

authorized for the exclusive use of the President shall be constituted

into a motorpool.

Section 2. The use and operation of motor vehicles owned by the University shall

be in accordance with the rules and regulations set forth by law and the

University.

Article 99. Solicitations

Section 1. Soliciting of funds, canvassing for the sale of merchandise and

subscribing for securities, insurance and publications, selling of tickets

and other promotional or charity schemes shall not be allowed in any of

the University buildings or grounds without previous written approval of

the President of the University or his/her duly authorized representative.

Section 2. Posting of streamers, placards and similar materials to announce,

advertise or publicize events, products or the like on any of the grounds

and buildings of the University shall require the written approval of the

President of the University or his/her duly authorized representative.

Article 100. Sale and Disposal of University Property

Section 1. The sale and disposal of University property shall be subject to pertinent

government auditing rules. Disposal/sale of items costing P5,000.00 or

more shall be referred to the Board for approval.

Section 2. Proceeds from sales of materials and products produced by a unit of the

University shall be set aside as trust fund to be used for the continuity of

such productive activities.

Article 101. Purchasing and Requisitions

Section 1. All purchases and requisitions shall be made in accordance with the

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The ASU Code 62


provisions of law, this Code and other pertinent regulations of the

University.

Section 2. All requirements shall be submitted by the respective Unit Heads to the

Vice President for Administration who, together with the Budget Officer,

shall determine whether or not an appropriation is available to fill the

requisition.

Section 3. Whenever a requisition, for which funds are available as certified by the

Budget Officer of the University, is objected to by any member of the

administrative office, the latter shall state in writing the reasons for the

objection. The Unit Head concerned shall be furnished a copy thereof

and may then appeal to the President of the University for final decision.

Article 102. Procurement

Section 1. The Supply Office shall only be concerned with the purchase of supplies/

materials/equipment and fixed assets regardless of the mode of

procurement. The functions of the office are:

Section 2. The APP shall emanate from all operating units, each shall submit on the

last quarter of the current year an itemized list of supplies and materials

needed on a quarterly basis for the ensuing year based on allocation

from the Budget Office.

Section 3. Purchase Request (PR) shall be prepared in four (4) copies by the

Requisitioner/end-user and approved by the designated approving

authority. Proper distribution of the form shall be observed.

Article 103. Bidding

Section 1. Based on approved requisitions, invitations to bid are prepared with

specific descriptions and quantities of items called for.

Section 2. At least one week before bidding day these invitations are sent to

prospective qualified and reputable bidders.

Section3. On bidding day, which is usually on the 1st month of the quarter, the

committee convenes for the opening of the bids in the presence of

attending bidders.

Section 4. Bid tenders are abstracted as they are opened and read, at the same

time verifying whether bond requirements are complied with.

(Acceptable bonds are either CASH, CERTIFIED CHECKS OR GSIS SURETY

BONDS, equivalent to 10% of the total bid and 10% performance bond

in case of award.).

Section 5. Tenders are initiated by the members of the committee to indicate that

they have passed upon such offers.

Section 6. Based on the tenders and abstracts of bids, award is made to the offer

which the committee considers most advantageous to the University,

considering among others, 1) price, 2) quality, and 3) reliability of the

supplier.

Section 7. The members of the committee sign the abstract to signify their

approval of the award.

The ASU Code 63


The ASU Code 63


Section 8. The COA representative signs as witness to the proceedings of the

bidding.

Section 9. Based on the award made by the committee the Procurement Division

prepares a Letter Order (LO) in six copies and Obligation Slip (SO) in six

copies.

Section 10. The Head of the Procurement Unit reviews and initials LO.

Section 11. The Accounting Unit certifies to availability of funds.

Section 12. From the accounting division, documents are forwarded to Internal

Audit Division for attestation.

Section 13. The Authorized official approves the same.

Section 14. The Procurement Unit transmits the L.O. to winning bidders. A fine of

1/10 of 1% for each day of delay is charged to the dealer in case of

delays.

Article 104. Negotiated Purchase

Section 1. Negotiated purchases are resorted to when the items requisitioned are

exclusively manufactured or distributed and there is no substitute

available in the market.

Section 2. Procedures on Negotiated Purchase

a. Quotations are secured from the exclusive manufacturer or

distributor with a certification as exclusive manufacturer or

distributor applicable to their respective status.

b. Based on the price quotations and certificate of manufacturer or

sole distributorship, supported by the approved requisition, a

negotiated form to purchase is prepared by the procurement

unit.

c. The Procurement Officer reviews records and initials documents.

d. Documents (Request to negotiate, requisition, quotation and

certificate of manufacturer or sole distributorship) are recorded

in the logbook and forwarded to the Chairperson of the Bidding

Committee.

e. Chairperson of the Committee on Bids and Awards endorses the

request for negotiation with the OVPA/Campus Director

otherwise, the request is returned with comments.

f. The President/Campus Director approves the negotiated

purchase/contract.

g. The Procurement Division prepares notices of approval to all

units concerned.

h. The Procurement Division prepares LO based on supporting

documents.

The ASU Code 64


The ASU Code 64


Article 105. Emergency Purchase

Section 1. Emergency purchases without public bidding is allowed under Section 6

of Executive Order No. 302, S-1940 in any of the following instances:

Section 2. Whenever the supplies, materials, furniture, equipment or repair of

equipment are exceptionally urgent or absolutely indispensable to

prevent immediate danger to, or loss of, life and/or property.

Section 3. Whenever the suppliers are to be used in connection with the project or

activity which cannot be delayed without prejudice to public service.

Section 4. Procedure

a. Canvass of prices is obtained from at least three reputable

suppliers.

b. Based on the lowest responsive offer and amount up to

P1,000.00. The unit may be purchased directly without the need

for a requisition or PO, provided there are available funds for the

purpose.

c. Reimbursement or direct payment may be effected by

accomplishing a disbursement voucher (General Form 5A)

supported by a ROA, an official Receipt or invoice duly signed by

the company, taxpayer’s certificate, report of inspection and a

statement by the unit head that:

The price paid or contracted for is reasonable and that it is the

lowest obtainable at the time of purchase or order.

d. For amounts over P1,000.00 up to P5,000.00 a requisition has to

be accomplished and supported by at least three canvass of

prices plus statement of the department head on the emergency

nature of the purchase and a certification that the price is the

lowest obtainable at the time of canvass.

Article 106. University Budget

Section 1. The annual budget of the University shall be prepared in accordance

with the University approved rules and the Department of Budget and

Management policies and guidelines.

Section 2. The preparation of the annual budget shall be done in consultation with

heads of the different units and shall be based on need. The Heads of

Units may be invited to defend their proposals during budget hearings.

Section 3. Pending the approval of the annual budget for the ensuing fiscal year,

the University shall operate from January of a given year, using the

budget of the previous fiscal year as basis.

Section 4. The President of the University is authorized at his/her discretion to

order the closing of accounts of finished and dormant project and the

reversion of any balance to the original funds from which these were

drawn or to general unassigned funds of the University. Dormant

projects are those activities or special programs whose budgetary

allocation does not reflect any withdrawal for nine months after

The ASU Code 65


The ASU Code 65


approval.

Article 107. Records Management

Section 1. The University shall strictly adhere to the efficient, effective and

economical implementation of the records management program as it is

a vital tool for the provision of an accurate and timely information

whenever and wherever it is needed in the university system.

Article 108. Records Maintenance

Section 1. All official correspondence intended for the University whether

addressed to the President or any other official, shall be coursed

through the Records Section for recording and routing to proper action

units.

Section 2. There shall be no direct deliveries of incoming communications to action

units by individuals. All communications delivered directly will first be

made to pass through the Records Section for proper recording. As

much as possible, there shall be no hand carrying of correspondence

within the university by outside parties. All officials and employees shall

inform the transacting public of this regulation and shall adhere to it.

Section 3. The Records Section shall adopts the following standard operating

procedures:

a. Receiving

b. Sorting

c. Opening

d. Stamping

e. Routing

f. Assigning of correspondence numbers

g. Recording

h. Logging

i. Delivery to action units.

Article 109. Records Classification and Filing

Section 1. Records should first be filed according to their subject classification.

Section 2. The file copy shall be marked “File” or “Released” and signed or initialed

by the appropriate official to show that the paper has been officially

released and is ready for filing.

Section 3. Complete filing designation shall be written on the upper right hand

corner of the materials, in clear, legible writing.

Article 110. Records Disposition

Section 1. Permanent records which are worthy of preservation usually reflect

those of the administrative history of the agency, the policies they

follow, the reasons for their adoption, the working methods, specific

individual transactions, including personnel service and the general,

The ASU Code 66


The ASU Code 66


social, economic, or other conditions which the agency is dealing with.

Section 2. Non-current records have varying periods of usefulness to the agency

that maintain them. Because of this, it is necessary to determine how

long they should be retained in retirement to satisfy their administrative

and legal requirements. Non-current records awaiting the termination

of their prescription period may be transferred to less expensive storage

areas. Non-current records which are of no record value to the agency,

or temporary records whose retention periods have expired, should be

disposed of.

Section 3. All requests for storage of non-current records submitted by units of the

agency shall reflect information containing a brief description of the

record series turned over, and inclusive dates covered by the record and

volume.

Section 4. The University shall observe the standard procedure in disposing of

records:

a. The university shall prepare an inventory of its records holding in

the prescribed form as an initial step in developing the Records

Disposition Schedule (RDS) and for whatever purpose it may

deem necessary.

b. The University shall observe the General Disposition Records

Schedules in determining the disposal of its valueless records.

c. The University first secures authority from the Director of the

Records Management and Archives Office before destroying or

selling any record.

d. Upon receipt of request for authority to dispose of records, the

Chief of the Current Records Division, acting for the director,

shall assign a Records Management Analyst to appraise and

examine the disposable records of the University and

recommend the manner or method of disposal, such as by

burning or direct sale or shredding before sale in the prescribed

form.

e. The Records Officer who is in custody of the records holding

shall be responsible for the safekeeping of the valueless records

until their disposal is authorized.

f. The Records Management and Archives Office together with

representatives of CHED and COA may reappraise and reexamine

records for disposal as the need arises.

g. To safeguard the sanctity of the records and to check that

records to be disposed of are of the same records which were

appraised and examined and that no insertions had been done,

the actual disposal of records shall be witnessed by a

representative of the University, the RMAO and COA.

h. A Certificate of Disposal shall be prepared in triplicate by the

University and witnessed by the representatives of the

The ASU Code 67


The ASU Code 67


Commission on Audit, Records Management and Archives Office

and the owning agency upon the delivery of the disposable

records to the paper mills or warehouse of the winning bidder.

i. The Certificate shall indicate the nature of the records, the

manner, place and date of disposal and their approximate

volume in cubic meters and weight.

j. The original copy goes to the University, a copy for the Records

Management and Archives Office and a copy for the Commission

on Audit.

k. The University shall submit a report on the disposal of valueless

records to the Records Management and Archives Office.

l. All proceeds realized from the sale of disposed valueless records

shall be remitted to University Funds.

m. The University shall determine when to have its file breaks. File

breaks are generally set during the slack periods of filing and

servicing. A file break may be set at the end of the fiscal year or

calendar year.

n. Records shall be disposed of periodically, usually once a year,

soon after a file break.

Article 111. Reference Service

Section 1. Non-current records stored in the record storage center shall be made

available to office personnel in the government agencies and the public

in general.

Section 2. Reference service in the record storage center shall be made in

accordance with the approved procedures to avoid loss or misplacement

of records.

Section 3. Priority in the request for non-current records should be given to those

coming from government agencies. Other requests should be attended

to on a “first come, first served” basis.

Section 4. A reference service request slip shall be accomplished and prompt

return of borrowed records at the prescribed period after use should be

observed.

Article 112. Medical Services

Section 1. The University shall maintain a Medical Unit which shall be managed by

a Physician and a Nurse.

Section 2. Medical consultation and check-up for students, faculty and staff shall

be free of charge.

Section 3. All new students shall undergo medical examination upon enrollment

and old students shall undergo medical examination on schedule.

Section 4. Outsiders may be entertained by the unit for medical consultations free

of charge but have to pay for the cost of the medicine and other

medical supplies and materials used.

The ASU Code 68


The ASU Code 68


Article 113. Dental Services

Section 1. Dental check-up including general cleaning, extraction, and cementing

of damaged tooth shall be free to all students of the University.

Section 2. Faculty and staff of the University shall be free from paying services fee

for dental check-up, general teeth cleaning, cementing of damaged

tooth but shall pay the cost of medicines and other dental supplies and

materials used.

Section 3. Dental check-up for outsiders may be rendered free of charge as a form

of extension activity of the unit. However, the medicine and other

supplies and materials shall be paid at cost.

Section 4. Artificial dentures ordered by outsiders shall be charged for the cost

including the service fee. Such charges should be paid directly to the

campus casher who shall issue an official receipt. It shall be deposited in

a Trust Fund. This fund shall be used by the Medical/Dental Unit to

purchase dental supplies and materials, and maintenance or purchase of

dental equipment upon approval of the Board of Regents/Trustees.

Article 114. Financial Management

Section 1. The annual budget of the SUC shall be prepared in accordance with the

budgetary policies of the government and the rules and regulations

prescribed by the Board of Regents.

Section 2. Budget preparation shall start at the unit level of the different operating

units of the SUC.

Section 3. The Budget Officer of the University shall consolidate the estimates/

budgetary requirements for approval by the Board of Regents/Trustees.

Article 115. Budget Implementation

Section 1. No transfer of funds shall be allowed/authorized except for justifiable

and actual emergency situation. In such emergency cases, the SUC

President with the approval of the Board of Regents/Trustees may direct

the transfer of funds from one item to another but not to exceed 33 1/3

percent of the amount appropriated for such item.

Section 2. Pending the approval of the budget for the ensuing year, the SUC shall

operate based on the previous year budget.

Section 3. Any additional request for fund made by any of the operating units

should not be paid without being out as authorized by the Board of

Regents. In cases where it is no longer possible to sub-allot to the

requesting operating units, emergency expenditures shall be processed

at the Administration or at the operating unit, which as generated

savings at the end of the fiscal year.

Section 4. The SUC President shall be authorized to order the closing of accounts

of completed and dormant projects and direct the reversion of any

balance to the original funds from which these funds were drawn or to

the general unassigned funds of the SUC.

Section 5. Income from tuition fees and other necessary charges such as:

The ASU Code 69


The ASU Code 69


matriculation fees, graduation fees, laboratory fees, medical and dental

fees, library fees, athletic fees and other similar fees, and the net income

from auxiliary services shall be deposited in an authorized government

depository bank as special trust fund. The said trust funds shall be used

to augment the maintenance and other operating expenses and capital

outlays fund of the SUC. They may also be used to pay authorized

allowances and fringe benefits to teachers, employees, and students.

Article 116. Internal Accounting Control for Disbursement

Section 1. No money shall be paid out to any public treasury or depository except

in pursuance of an appropriation, law or other specific statutory

authority.

Section 2. Government funds shall be spent or used solely for public purposes.

Section 3. Trust funds shall be available and may be spent only for the specific

purpose for which the trust was created on the funds received.

Section 4. Fiscal responsibility shall, to the greatest extent, be shared by all those

exercising authority over the financial affairs, transactions and

operations of the government agency.

Section 5. Disbursement or disposition of government funds or property shall

invariably bear the approval of the proper officials.

Section 6. Claims against government funds shall be supported with complete

documents.

Section 7. All laws and regulations applicable to financial transactions shall be

faithfully adhered to.

Section 8. Accounting and disbursement functions should not be vested on one

individual. An employee should not have control of the operations

giving rise to entries in the records i.e., the general ledger bookkeeper

should not have access to the cash or to the records of cash sales.

Section 9. Payments should be properly approved and be made by check

whenever necessary and issued to the name of the payee.

Section 10. All collections should be properly receipted and deposited intact and

promptly in accordance with pertinent regulations.

Section 11. Accountable officers should be properly bonded.

Article 117. Accounting and Auditing

Section 1. All accounts and expenses of the Aklan State University shall be audited

by the representative of the Commission on Audit (COA) and all

disbursement shall be made in accordance with the rules and

regulations prescribed by the COA.

Section 2. All vouchers and warrants shall be submitted to the President of the

University for his/her approval.

The ASU Code 70


The ASU Code 70


Article 118. Donations and Endowments

Section 1. All donations to the University shall be accepted by the President for

and on behalf of the BOR in the name of the University subject to the

confirmation of the Board. Donations involving additional expenditures

or onerous conditions shall first be referred to the Board for deliberation

and final action.

Section 2. All donations to the University shall be registered in the “Book of

Accounts” reflecting the donor , beneficiary unit, and value which shall

be submitted to the Office of the University Secretary as part of public

records and shall be included in the University Inventory. The list of

donated items shall be forwarded to the Supply officer who shall then

issue memorandum receipts to the personnel who will take

accountability of the donated items.

The Intellectual Property (IP) Policies 71




The Aklan State University subscribes to the intellectual property rights conferred by law upon

individuals and institutions for new works and inventions in discharging its quadruple functions in

instruction, research, extension and production.

The University, therefore, promulgates these policies on the generation, protection, and

commercialization of intellectual property to attain its vision of sustainable development in the

community while maintaining its integrity as a pillar of academic excellence.





































The University Extension Manual 91


The University Extension Manual
































































ANNEXES

















The University Extension Manual 132


The Research Operation Manual 133


Republic of the Philippines

AKLAN STATE UNIVERSITY Banga, Aklan

5601 Philippines

University Research Operation Manual

Prepared by:

Roberto L. Saladar

Ersyl T. Biray

Elsa I. Abayon

Realm R. Alis

November 10, 2009





Table of Contents

1. Introduction ....................................................................................................................139

1.1 Vision ...................................................................................................................139

1.2 Mission ...............................................................................................................139

1.3 Goals ....................................................................................................................139

2. University Research Thrusts and Agenda ...........................................................140

3. University Research Framework ............................................................................141

4. University Research Strategies of Implementation ........................................142

5. University Research Management and Supervision .......................................143

6. Research and Development Services Staff ..........................................................149

7. Research Fund Generation and Utilization ........................................................151

8. Classifications of Researches....................................................................................152

8.1 Nature of Research ........................................................................................152

8.2 Research based on Structural Distributions .......................................152

8.3 Research Focus ................................................................................................153

8.4 Research on Stages of Technology Development .............................153

8.5 Research by Location ...................................................................................153

8.6 Scope of Research Work ..............................................................................154

9. University Research Grants .......................................................................................154

9.1 Institutional Research ..................................................................................154

9.2 Collaborative Research ................................................................................154

9.3 Co-funded Research ......................................................................................154

10. Institutional Research Proposal ...........................................................................155

11. Collaborative Research Proposal .........................................................................158

12. Researcher Service Contract ..................................................................................161



13. Research Project Implementation .......................................................................162

14. Research Project Personnel ...................................................................................164

15. Appointment of the Research Project Staff .....................................................165

16. Research Supplies, Materials and Equipment ................................................166

17. Use of University Common Service Facilities .................................................167

18. Researcher’s Travel Expenses ...............................................................................167

19. Research Progress Reports.....................................................................................169

20. Extension and Termination of Research Projects .........................................169

21. Presentation and Publication of Research Outputs .....................................170

22. Application for Intellectual Property Rights ...................................................170

23. Incentives of Faculty-Researchers .......................................................................171

24. Honoraria of Researchers .......................................................................................172

25. Participation in Conferences, Seminars and Trainings ..............................173

26. Awards and Other Incentives ................................................................................173

27. Repealing Clause .........................................................................................................175

28. Amendments ................................................................................................................175

29. Effectivity .......................................................................................................................175



List of Acronyms

BOR Board of Regents

COA Commission on Audit

CRDS Chairpersons of Research and Development Services

DRDS Director for Research and Development Services

EO Executive Order

ETLs Equivalent Teaching Loads

ICTS Information and Communications Technology Services

IP Intellectual Property

MDGs Millennium Development Goals

MOA Memorandum of Agreement

MTPDP Medium-Term Philippine Development Plan

ODF Office of the Director of Finance

ODRDS Office of Director for Research and Development Services

OVPRE Vice President for Research and Extension

RDS Research and Development Services

RC Research Contract

SO Special Order

STF Special Trust Fund

SUC State Universities and Colleges

TOR Terms of Reference

UIPR University Intellectual Property Rights

URC University Research Council

VPAA Vice President for Academic Affairs

VPRE Vice President for Research and Extension

WVCST Western Visayas College of Science and Technology



List of Figures

Figure 1. University research thrusts, agenda and the processes to expected output of researches ............................................................................................................................. 140

Figure 2. Research Convergence Model with Extension, Training and Information and Communication Technology Services of the University ..................................... 141

Figure 3. Framework for the development of policies and guidelines to strengthen the implementation of research programs and projects of the university ......... 142

Figure 4. Flow of preparation and approval of the institutional research proposal...157

Figure 5. Administrative process for collaborative research proposals ......................... 160

Figure 6. Flow of processing of MOA for collaborative research ........................................ 161



UNIVERSITY RESEARCH OPERATION MANUAL

This University Research Operation Manual contains policies for general

research administration, management and implementation of research projects. Its

purpose is to give specific focus and direction to the researchers of the university

for the realization of its research vision, mission and goals.

Excellence in Research for Sustainable Development

Provide opportunity for the faculty and students to conduct intellectual

works, develop and promote inter-disciplinary research, and generate

creative knowledge and appropriate technologies for the advancement of

industries and realization of the vision and mission of the university.

Establish a dynamic research environment that will promote a high standard

of professional conduct among researchers, and a culture of research

practice that is ethical, competent, safe and responsive to the needs of the

stakeholders.

Conduct researches that can generate new knowledge, best practices and

appropriate technologies, and improve policies for the sustainable

development of industries and stakeholders.

Present research outputs in local, regional, national and international

venues.

Publish new knowledge and technological breakthroughs in local, regional,

national and international refereed journals and other scientific publications.

Strengthen the research network of the University with local, regional,

national and international institutions through collaborative research

programs and projects.



The university researches are centered on quality education, sustainable

agriculture and fisheries, enterprise development, and health and social welfare.

These shall be focused on specific fields that may cut across disciplines, but

not limited to the following identified research agenda: food security, facilities and

services modernization, forest and environmental conservation, disaster and

health awareness/advocacy, renewable energy maximization, human capability

building, tourism development and promotion, and gender and development. The

framework of the university thrusts, agenda and output are shown in Figure 1.

Figure 1. University research thrusts, agenda and the processes to expected output

of researches

These research thrusts and agenda are based on the research edges of the

University, the Medium-Term Philippine Development Plan (MTPDP), and the

Millennium Development Goals (MDGs) in support of the mandate of the

Commission on Higher Education and the implementation of Republic Act 8435 or

the Agriculture and Fisheries Modernization Act of 1997.



The Convergence Model of Research, Extension, Training, and Information

and Communications Technology Services Units shall be used to develop and

implement policies in harmonizing the research programs and projects of different

degree granting units of the university as shown in Figure 2.

This model provides the researchers a breadth and depth articulation of the

integration of resources from the four service units, and the use of inter-

disciplinary services of the university.

Figure 2. Research Convergence Model with Extension, Training and Information

and Communication Technology Services of the University



The University Research Development Strategy is articulated in the

University’s Five Year Strategic Plan with detailed specific objectives and

implementation to realize the vision and mission of the university. It shall be inter-

disciplinary and participatory approach using the Input, Process and Output Model

illustrated in Figure 3.

Figure 3. Framework for the development of policies and guidelines to strengthen

the implementation of research programs and projects of the university

This framework provides direction in the formulation of research policies

and guidelines to achieve excellence in research programs based on, but not

limited to the following provisions:

Development of research policies to pursue the research thrusts and

agenda of the university, harmonize the research programs and projects,

and promote the efficient use of human resources and research fund.

Enhancement of knowledge and skills of faculty, staff and students to

undertake quality research works by building the university’s research

human infrastructure.



Empowerment of Research Chairpersons to develop and implement

research strategic plans that shall utilize the expertise of the faculty, staff

and students in their respective college/school.

Modernization of research facilities and equipment to provide the faculty,

staff and students a dynamic working environment that is conducive to

the conduct of research.

Multi-disciplinary research approach to provide opportunities for

effective collaborations among faculty, staff and students from the

different colleges/schools and from other institutions.

Utilization of the research fund of the University and the research grants

of other institutions to implement the approved research proposals of the

faculty, staff and students.

Publication of research findings in local, regional, national and

international refereed journals to disseminate new knowledge and

technological breakthroughs to the stakeholders and the scientific

community.

Packaging of research outputs to secure the University Intellectual

Property Rights (UIPR) on developed technologies that shall be

commercialized by industries and other stakeholders.

Research collaborations with local, regional, national and international

institutions to expand the research network of the University.

Integration of gender and development in the implementation of

research programs and projects of the University.

Provision of incentives to the researchers who present and publish their

research findings in local, regional, national and international scientific

gatherings and publications.



University Research Council

The University Research Council (URC) shall be the research policy-making

body of the university. The URC shall be composed of the University President as

Chairperson, the Vice President for Research and Extension (VPRE) as Co-

Chairperson, the Director for Research and Development Services (DRDS), and the

Chairpersons of Research and Development Services (CRDS) from the different

degree granting units of the university as members.

The University Board Secretary shall be the Secretary of the University

Research Council who shall disseminate the notice and agenda of the meetings at

least 48 hours in advance and shall keep the records of the minutes of meetings.

The minutes of the previous meeting shall be distributed with the notice of

meetings.

The URC meeting shall be called by the University President, or his

representative, or upon the request of the majority of all the members of the

Council.

A quorum of meeting shall be a majority of all the members of the Council.

The duties and functions of the URC are:

Review and recommend to the Board of Regents policies, guidelines, rules

and regulations governing the development of research plan, administration

management and implementation of research programs and projects of the

colleges, schools and other degree grating units.

The URC specific duties are as follows:

Serve as an advisory body to the President on the development of

research in the university;

Act as coordinating committee for the various committees of the

university for more effective and efficient implementation of the



research programs and attainment of its vision and mission;

Review research programs and projects of the different degree

granting units or create a special committee as it may deem necessary

to review and evaluate research proposal for funding; and,

Review research policies and guidelines, utilization of research funds,

and recommend for approval by the Board of Regents.

Office of the Vice President for Research and Extension

In close coordination with the Office of the University President, Vice

Presidents, Executive Directors, Deans, Directors and Unit Heads, the Office of the

Vice President for Research and Extension (VPRE) is mandated to assist the Office

of the Director for Research and Development Services Unit to orchestrate and

harmonize the research programs and projects of Colleges, Schools and other

degree granting units of the university.

The VPRE is directly responsible to the President of the university. He/she

shall serve for a term of two (2) years without prejudice to re-designation for

another two (2) years or until he/she reaches retirement age whichever comes

first. However, the designation/appointment could be withdrawn anytime for a

cause. His/her major functions are the following:

1. Coordinates with the President of the university and other Vice Presidents

regarding the research and extension programs of the university.

2. Provides effective liaison between the university and the research and

extension community; local, provincial, national and international.

3. Initiates and undertakes activities that shall keep the university updated

with recent developments in the research and extension affairs.

4. The specific duties of the Vice President for Research and Extension are as

follows:

a. serves as deputy of the ASU President on research and extension;



b. supervises the personnel, budget and expenditures, and annual

procurement planning, and recommends to the office of the

University President the allocation of funds and personnel

appointments for the Offices of Research and Development Services,

Extension and Community Services, Training Services and

Information and Communication Technology Services;


authorized appropriations on allotments in the offices under the

Office of the Research and Extension following the government

accounting and auditing rules and regulations;

d. certifies the disbursement that expenses/advances necessary, lawful,

and incurred by the Offices of Research and Development Services,

Extension and Community Services, Training Services and

Information and Communication Technology Services under his

direct supervision;

e. coordinates with the Vice Presidents, Deans, Directors and Unit

Heads regarding Research and Development Services, Extension and

Community Services, Training Services and Information and

Communication Technology Services of the university;

f. provides effective liaison between the university and community,

and other educational institutions, government and non-government

organizations, foundations, research and training institutions;

g. conducts in-house research and extension review and initiates

activities that shall keep the university abreast with recent

development in instruction, research, extension and production;

h. prepares and pursues programs for staff continuing development;

i. assists the President in sourcing donations and grants-in-aid and

income generation initiatives for the support of research and

development, extension and community development, training, and

information and communication development programs;



j. conducts meetings, conferences, trainings, workshops and seminars

in coordination with the President, Vice Presidents, Executive

Directors, Deans, Directors and other Unit Heads regarding the

planning, implementation and communication development

programs of the university; and,

k. performs other functions that the ASU President or Board of Regents

may assign.

Office of the Director for Research and Development Services

In coordination with the Office of Vice President for Research and Extension

(OVPRE), the Office of Director for Research and Development Services (ODRDS)

shall direct and assist the formulation of research strategic plan and

implementation of research programs and projects of the different degree granting

units of the university. Likewise, ODRDS shall assist the OVPRE in the networking

and resourcing of research fund.

With close coordination with the Executive Directors, Deans and Unit Heads,

the Director for Research and Development Services (DRDS) shall work closely

with the RDS Chairpersons in developing research strategic plans, implementing,

monitoring, evaluating research programs and projects of the different degree

granting.

The DRDS shall be designated/ appointed by the Board of Regents upon the

recommendation of the President. He/she shall be designated for a term of two (2)

years without prejudice to renewal for another two (2) years. However, the


1. As DRDS, he/she is directly responsible to the Vice President for Research

and Extension.

2. His/her functions are as follows:

a. initiates and supervises the planning, implementation and evaluation

of new and existing activities, projects, programs approved by the

Board of Regents;



b. initiates and undertakes activities that shall keep the university

abreast with recent development in research;

c. supervises and administers the personnel assigned in the Research

and Development Services;

d. assists the Vice President for Research and Extension in the

formulation of policies and guidelines for the operation of the office;

e. prepares the budget, expenditures and annual procurement of the

office; and shall represent the office in the Administrative Council/

Executive Meetings/Conferences;

f. provides effective liaison between the university and community, other

educational institutions, organizations and foundations and Local

Government Units (LGUs)

g. sources funds from donations and grants-in-aid for the support of the

extension activities of the university;

h. initiates and innovates efficient extension delivery system to transfer

technologies to the community;

i. chairs the R&D Coordinators of school/colleges/units of the university;

j. ascertains that actual expenditures are in accordance with the

authorized appropriation or allotments;

k. prepares and submits periodic reports;

l. designs and conducts livelihood and professional trainings in the

dissemination of technologies;

m. recommends the use and disbursement of funds allotted to RDS under

her direct supervision for approval; and,

n. does other functions that the President or Board of Regents may

assign.



The RDS Unit has administrative, technical and clerical staff assisting DRDS

to implement research policies and guidelines of the university. These are the

designated Research and Development Services Chairpersons from different

degree granting units, the Science Research Assistant and the Clerk.

Research and Development Services (RDS) Chairpersons. The RDS

Chairpersons are performing the research manager tasks to assist the researchers

in their respective college, school or unit. Each degree granting unit of the

University shall have one RDS Chairperson who shall work closely with the DRDS

in developing research strategic plans, and in implementing, monitoring and

evaluating researches in their respective college, school or unit.

The RDS Chairperson shall have the following duties and functions:

a. represent his/her college, school or degree granting unit in the University

Research Council;

b. act as the head of the Local Research Evaluation Committee of their

respective college, school or degree granting unit;

c. represent the college, school or degree granting unit in the R&D

committees, meetings, consultations, conferences and seminars;

d. disseminate research policies and other information from the ODRDS to

the faculty in their respective college, school or degree granting unit;

e. coordinate with the ODRDS in the formulation and implementation of

research activities in the college/school degree granting unit;

f. monitor the status of research projects and activities in their respective

college, school or unit;

g. prepare and submit the strategic, procurement and action plans, progress

reports and other research-related documents from their college, school

or unit to the ODRDS;

h. attend the RDS regular meetings; and,



i. perform other functions as maybe assigned by higher authority.

Science Research Assistant. The SRA shall work under the Office of the RDS

Director to assist the implementation of the research programs and projects by the

different degree granting units with the following functions:

assists the DRDS Unit in the formulation and consolidation of strategic

plans, conduct of research in-house review, and validate

accomplishment reports submitted by the RDS Chairperson from the

different degree granting units of the university;

assists the DRDS to coordinate with the RDS Chairpersons and

Researchers from colleges, schools and other units to prepare research

proposals, and document research output for presentation in the

research in-house review;

provides technical assistance to the researchers in the implementation

of research projects such as data gathering, statistical analysis and

documentation of research activities;

facilitates and assists the RDS Chairperson from different colleges,

schools and other units in monitoring and evaluating the on-going

research projects;

consolidates and submits quarterly research monitoring and

evaluation reports to the DRDS ;

assists the researchers in preparing reports, presentations, posters and

press releases of the research programs, projects and activities; and

does other related tasks.

Clerk. The Clerk shall act as the custodian of documents, and facilitator of

office business transactions under the supervision of the DRDS with following

duties and functions:

a. prepares interoffice and outgoing communications;

b. files and records all incoming and outgoing communications;



c. records minutes of meetings;

d. records budget and expenditures of the office

e. prepares reports on research-related activities; and,

f. does other related tasks that the DRDS may assign.

The generation of research fund and utilization shall be guided by the following

procedures:

The University regular research budget allocation from the national

government shall be utilized for payment of personnel services and

operating expenses of the RDS unit to orchestrate and strengthen the

research programs of the different degree granting units.

The ODRDS shall prepare the utilization of the regular research budget every

October and shall be approved by the Board of Regents.

The re-alignment of the approved research budget from the regular fund may

be requested by the ODRDS to the Director for Budget and Finance subject to

approval of the Board of Regents.

The University research fund for institutional research grants shall be taken

from the 10% of Research Share of the Special Trust Fund (STF), and other

sources of fund of the university.

The 10% STF Research Share shall be deposited in one common account as

the University Research Fund to provide funding to the approved research

proposals.

The University Research Fund shall be utilized for research grants, incentives

of faculty-researchers and payment for professional and administrative

services.

Likewise, the University Research Fund shall be used for research human

capability building, upgrading of the research facilities of colleges, schools



and other degree granting units.

Each of the degree granting units shall have equal access to use the

University Research Fund through submission of approved research

proposal.

The University provides grant to support the institutional and collaborative

researches which maybe technical or social researches across disciplines which

focus on, but not limited to the identified University Research Agenda. The

researches can be classified as follows:

Basic Research - any systematic and creative work undertaken primarily

to acquire new knowledge of the underlying foundations of phenomena and

observable facts, without any particular or specific application or use in

view.

Applied Research - any original investigation to acquire new knowledge. It

is, however, directed primarily towards a specific practical aim or objective.

Upstream Research - any research project of basic strategic type

implemented by national centers of excellence.

Midstream Research - any systematic work drawing on existing

knowledge gained from research and/or practical experience that is

directed to producing new materials, products and devices, to installing

new processes, systems and services, and to improving substantially those

already produced or installed; these are technology verification and

technology adaptation type of research implemented by regional SUCs.

Downstream Research - these are applied research projects of technology

dissemination and technology demonstration type implemented at the

provincial level.



Commodity - refers to research undertakings that focus on product

development of specific commodities like rice and other agricultural

products or certain research fields.

Non-Commodity - refers to research undertakings that focus on socio-

economic aspects or interdisciplinary researches with policy implications

to agriculture (e.g. Integrated Pest Management, mechanization,

biotechnology, crop protection and forest biology).

Technology Generation Research - focuses on a single factor affecting

productivity of a single commodity.

Technology Adaptation Research - evaluates the performance stability

and replicability of technologies over space and time, conducted either in

the research station or farmers’ fields and done under the supervision and

management of the researcher.

Technology Verification Research - compares performance of the

improved technologies with that of existing farmers’ practice under

existing farm environment. This research is conducted in farmers’ own

farms under the supervision and assistance of researchers.

On-station Research - trials conducted in research stations where

facilities for experimentation are excellent and accessibility to researchers

is favorable. Usually, only the researchers are involved in formulating the

research objectives and methodologies.

On-farm Research - trials conducted in farmers’ fields with the farmers

involved in formulating improved technologies to be tried or tested.

Researcher-managed - on-farm trials conducted on farmers’

fields managed by researchers who evaluated in detail the

specific management components to be assigned to the cropping

systems.



Farmer-managed - on-farm experiments managed by farmers

to find out how they respond to suggested improvements.

This refers to the nature and coverage of research work undertaken by the

faculty-researchers in different degree granting units.

Research Program - a group of interrelated or complementing projects

usually requiring an interdisciplinary or multidisciplinary approach to

meet established goals within a specific time frame. It is composed of at

least two projects.

Research Project - a set of interrelated studies, activities or a component

of a program with predetermined objectives to be accomplished within a

specific time frame. It is composed of at least two studies.

Research Study - a basic unit in the investigation of a specific problem

identified under a research project.

The University provides grants to support the institutional research. The

research grant includes operating expenses to implement the researches and

remuneration of the researcher.

All faculty members with permanent appointments are eligible to apply for

the research grants, provided the research is in line with the university research

thrusts and identified agenda, and approved by the Board of Regents.

this is funded by the University from the ten

percent (10%) of the STF and other source of fund from the university.

– is funded by partner institutions through a

Memorandum of Agreement between the University and the funding institution.

- Co-funding or a combination of funding from the

University and partner institutions through a Memorandum of Agreement between



the University and the funding institution, and copy furnished to the concerned

offices.

The following are the procedures in initiating and approval of the institutional

research proposal:

The research proposal shall be conceptualized and developed by the

researchers or the research project team from the different degree granting

units.

Research proposal shall be focused on, but not limited to the current

problems and researchable gaps based on the identified research agenda of

the university.

The submission of the research proposal from the different degree granting

units to the ODRDS is every 4th quarter of the year, following the prescribed

institutional research proposal format of the University.

The research proposals shall be consolidated by the ODRDS who shall

indorse to the OVPRE for review, and evaluation by the URC.

The OVPRE shall convene URC Meeting to evaluate the submitted research

proposals.

The URC comments shall be incorporated in the research proposals before

submitting it to the ODRDS for inclusion in the University In-House Review.

Both rejected and accepted research proposals shall be returned to the

proponent, and the comments from the Technical Panel during the In-House

Review shall be incorporated in the final copy of the accepted proposals by

the proponent.

The final copy of the accepted research proposals shall be submitted to the

ODRDS who shall submit the list to the OVPRE.

The OVPRE shall then indorse the list of accepted research proposals to the

University President to be included in the agenda in the Board of Regent’s

meeting for appropriate action.



Once the research proposals are approved, the University Board Secretary

shall issue the certification of the BOR Approval, copy furnished the

Researchers, ODRDS, OVPRE and RDS Chairperson.

The ODRDS shall provide a Research Code Number to the BOR approved

research proposals which shall then forwarded to the Office of the Director of

Finance (ODF) for allocation of fund.

The funding shall be taken from the ten percent (10%) of Research Share of

the Special Trust Fund (STF) or from other source of fund of the university.

The ODF shall issue a Certificate of the Availability of Fund or For Schedule

for Release of Fund to implement the approved research proposal, copy

furnished Researchers, ODRDS, OVPRE and RDS Chairperson.

Upon the issuance of the Certificate of the Availability of Fund, the

Researcher shall submit a request letter to the ODRDS to start implementing

the project subject to the approval by the University President.

The implementation of the research projects shall be done by the

Researchers directly monitored by the RDS Chairpersons under the

supervision of their respective Dean/Executive Director.

The ODRDS shall conduct quarterly field evaluation to validate the Research

Progress Report submitted by the RDS Chairperson.

The general rule is that the faculty can undertake only two (2) researches per

year that includes institutional and collaborative researches funded by

partner institution, where the faculty-researcher is the research project

leader.

The faculty may be allowed to participate in other researches provided he/

she can complete the on-going project and submit the final research report

on time; provided further that his/her academic and other mandated

functions in the university are not affected.



Figure 4. Flow of preparation and approval of the institutional research proposal



The following are the procedures in initiating and processing of Collaborative

Research Proposal to be funded by the partner institutions:

The research proposal shall be conceptualized by the Researchers or the

Project Research Team from the different degree granting units based on the

identified researchable problems or research interest of the funding

institutions.

The submission of research proposal from the different degree grating units

to the ODRDS shall be 10 days before the deadline, following the proposal

format prescribed by the funding institution.

The ODRDS shall create Research Technical Committee to review and

evaluate the research proposal, and comments from the committee shall be

integrated in the final research proposal by the research proponent.

The final copy of the research proposal shall be submitted to the ODRDS for

issuance of the Collaborative Research Code Number, and this shall be

forwarded to the OVPRE who will recommend for official endorsement by

the University President to the funding institutions.

In case the first submission of research proposal will not be accepted by the

funding institutions due for improvement of the research proposal,

comments and suggestions from the funding institutions shall be integrated

by the research proponent and the re-submission of the proposal shall be

endorsed by the University President to the funding institutions.

Once the research proposal is approved, a Memorandum of Agreement

(MOA) between the funding institution and ASU shall be executed, and the

concerned offices shall be provided with notarized copy of the MOA.

The Collaborative Research Fund shall include 10% from the total budget

which shall be allocated as the Administrative Overhead Cost. The rate is

pegged at 10% of the total budget that goes to the University Research Trust

Fund, and shall be used as follows: payment of honoraria and incentive of

administrative personnel which shall be determined by the Program/Project

Leader, and the remaining amount shall be used for the upgrading of RDS



research facilities for the degree granting unit 40%, and 60% for

international/local travel expenses of researchers, see Figure 5.

The notarized copy of the MOA shall be submitted to the Office of the Board

Secretary to be included in the agenda of the Board Meeting for notification

of the Board of Regents, after which the Board Secretary shall issue the

certification of BOR action, copy furnished the concerned offices as shown in

Figure 6.

The implementation and utilization fund of the Collaborative Research

Project shall be based on stipulated agreement in the MOA and in accordance

with Memorandum of Agreement (MOA) accounting rules and regulations.

The Project Leader of the Collaborative Research Project shall submit the

monthly progress report and final research report to the ODRDS, copy

furnished the other concerned offices.

The administrative process of preparing the Collaborative Research Proposal

is shown in Figure 5.



Figure 5. Administrative process for collaborative research proposals



Figure 6. Flow of processing of MOA for collaborative research

Prior to the implementation of research programs/projects, either

Institutional or Collaborative the researchers shall be issued with Special Order

(SO) /Research Contract (RC) with the following conditions:

The Office of the University President shall issue the Special Order to the

Researchers stating the Term of Reference that includes the name of

researchers, title of the research project, duration of implementation, total

amount of fund, source of fund, expertise, duties and major activities of

researchers, incentives or honorarium to be received by the researchers and

signatories of the concerned university officials.

The research proponents shall affix their signatures in the Special Order

issued by the University President in confirmation of their duties, functions



and accountabilities to disburse research fund and implement the project.

The Research Project Leader, Dean or Executive Director who shall

implement the research project shall affix their signatures in the Research

Contract to be accountable on the disbursement of funds and

implementation research without jeopardizing the regular functions of

researchers in their respective degree granting unit.

The University President can revoke anytime the Special Order issued to the

Research Project Leader and Researchers whose research activities are

proven unethical done in misconduct and negligence in their academic

function in the university.

Extension of Research Contract or the deferment of research for a maximum

of one (1) year maybe granted to the research proponent for valid reasons,

and approved by the University President.

Incase the research proponent did not start after the deferment period has

lapsed, the rights of the proponent is forfeited, and the research shall be

implemented by other researchers.

To strengthen and institutionalize uniform implementation of Research

Programs/Projects in the different degree granting units, the following policies and

guidelines are hereby adopted:

1. Only BOR approved Research Program/Research Project Proposal shall be

implemented by the researchers in their respective degree granting units,

following the program of activities defined in the proposal.

2. Funding of the approved Institutional Research Programs/ Projects shall

be charged to the University Research Fund from the10% STF Research

Share of the respective academic units and/or sourced out from GAA or

linkages.

3. The Research Program/Project Leader shall prepare a program of

activities matrix with corresponding budget per activity, and signed by



the respective Budget Officer, Dean and Executive Director and approved

by the University President.

4. The Research Program/Project Team shall accomplish the Research

Service Contract in the ODRDS in which the functions and duties of the

RDS Program/Project Team such as team leader, facilitator, trainer,

documenter and project consultant shall be defined.

5. The Research Service Contract shall be signed by Research Program/

Project Team and their respective RDS Chairperson, noted by the Dean

and the Executive Director, and approved by the University President.

6. All Research Programs/Projects with attached Research Service Contract

shall be submitted by the RDS Chairperson to the ODRDS for

consolidation and submission to the OVPRE. The contract shall then be

endorsed for approval to the University President.

7. The mode of Research Program/Project implementation shall be divided

into different phases of activities by semester. In case some of the

activities require to be conducted during summer, this should be reflected

in the program of activities.

8. The implementation of the Research Programs/Projects shall be properly

documented, particularly the processes, procedures, challenges, lessons

learned and efficient use of project funding following the government

rules and regulations.

9. RDS Chairpersons shall have regular meetings and monitoring of projects

implemented by their respective college, school or unit.

10. Research Program/Project Leaders are required to submit quarterly

Research Progress Report, and consolidated progress report at the end of

the semester to the ODRDS who shall provide certification to the

researchers to justify their claims of research services rendered for that

semester.



The qualification of the project personnel who shall be hired must conform

to the qualification and technical expertise needed to implement the research

project. The research project personnel shall be hired following the university

hiring procedures for project-based personnel. Below are positions of personnel

who may be hired to assist the researchers.

Research Assistant. The applicant must possess a baccalaureate or

graduate degree, with related work experience, and has undergone at

least 8 hours of relevant training. The duties and functions include but are

not limited to: assist the faculty-researchers in the conduct of research

activities, such as laboratory analysis, data gathering, report writing, etc.;

and provide technical assistance to the field workers, data gatherers and

encoders.

Research Aide. The applicant must possess a baccalaureate or graduate

degree, with related work experience, and has undergone at least 8 hours

of relevant training. The duties and functions of a laboratory aide include

but are not limited to: assist the researchers in setting up laboratory

experiments and analyzing samples; and maintaining the utility of

equipment and materials in the laboratory.

Statistical Aide. The applicant must possess a baccalaureate or graduate

degree, with related work experience, and has undergone at least 8 hours

of relevant training. The duties and functions of statistical aide include but

are not limited to: encode data and operate the statistical programs like

CROPSTAT, SPSS, Minitab, and Microsoft Excel; and prepare statistical

tables, charts and graphs for data analysis.

Enumerator/Interviewee. The applicant must have at least two years of

college education relevant to the nature of the study, preferably with

experience in conducting interviews and surveys. The duties and

functions of an interviewer/enumerator include but are not limited to: -

conduct interview with the respondents; and transcribe the interviewed

data.

Laborer. The applicant must possess at least two (2) years of college



education relevant to the nature of the study, and with related work

experience. The duties and functions of a laborer include but are not

limited to: work on the field on tasks assigned by the faculty-researchers;

and constructing facilities needed in the project.

Encoder. The applicant must possess at least two (2) years of college

education relevant to the nature of the study, computer literate, and with

related work experience. The duties and functions of an encoder include

but are not limited to: - encoding data gathered in the course of the

research; and encoding and formatting reports and communications such

as progress and annual reports, reports to funding agencies and reports

for publication.

Consultant. The services of a consultant may be contracted if the project

requires a level of expertise or attention beyond the optimum in-house

capability (Sec. 24.3, AAMRO). The consultant must possess the necessary

expertise needed in the research as shown by his/her educational

qualifications, technical expertise and experiences. The function of

research consultant must be well-defined in the terms of reference subject

to the approval of the University President.

The appointment of the research projects staff shall be classified into:

Contractual. The research project proponent accomplishes the request to

hire a contractual employee and submits the request to the Dean/Unit

Head for approval. The approved request is then attached to the contract

of service and program of activities of the contracted employee, which is

processed through channels for the approval of the concerned higher

authorities of the university.

Local Job Order. Hired laborers, utility workers and “pakyaw” shall be

hired for a maximum of one month. Approved Local Job Order request

shall serve as the appointment, which is processed through channels for

the approval of the concerned higher authorities of the universities.



The documents needed to process the payment of wages include:

Contractual Project Staff:

Approved request to hire the project staff

Project staff contract of service

Project staff Daily Time Record

Project staff accomplishment report for the month

Approved request to render overtime with pay

Local Job Order:

Approved Job Order request

Approved scope of work and billing of materials

Approved program of work and accomplishment report

Pre- and post-repair inspection forms

Consultant:

Approved Special Order or Terms of Reference by the University

President

Certification for the Research Project Leader on the services rendered

Consultant’s narrative report based on the TOR

The wages of research project staff shall be claimed from the cashier’s office.

In case the research project personnel cannot claim his/her paycheck personally, a

representative can claim it by presenting a written authorization.

The procurement of research supplies, materials and equipment and

disposal of the non-serviceable materials and equipment shall observe the

following:

Procurement of research supplies, materials and equipment, and

reimbursement expenses shall follow the University procurement

procedures based on R.A. Procurement Law and it’s IRR,



Equipment purchased for use in the project shall be considered property

of the University or the degree granting unit and shall be returned to the

Supply Office upon termination of the project.

The non-serviceable equipment must be returned to the Supply Office and

the Memorandum Receipt issued to the researcher shall be cancelled.

The University Common Service Facilities in the different campuses can be

utilized in research activities; provided, that the use of such facilities shall be

approved by the concerned authorities following standard operating procedures

on the use and utilization of the common service facilities of the university.

The traveling expenses of the researchers to conduct their research projects

shall follow EO 298 dated March 23, 2004, amending further EO 248 dated May 29,

1995 as amended by EO 248-A dated August 14, 1995, which prescribes rules and

regulations and new rates of allowances for official local and foreign travels of

government personnel, states that the travel expenses of government personnel

regardless of rank and destination shall be in the amount of eight hundred pesos

(Php800.00) per day which shall be apportioned as follows: 50% for hotel/lodging,

30% for meals, and 20% for incidental expenses.

Entitlement to travel expenses shall start only upon arrival at the place of

destination and shall cease upon departure at the following percentage:



A researcher on official travel/assignment within 50 km radius of his/her

permanent official station or place of work, shall be allowed to claim

payment of travel expenses only upon presentation of proof, duly

supported by bills or invoices with official receipts of expenses incurred,

that he/she stayed in the place of his/her assignment for the whole

duration of his/her official travel. If he/she commutes daily from the place

of his/her assignment to the place of his/her residence or permanent

official station, he/she shall be allowed only the reimbursement of actual

fare at the prevailing rates of the authorized mode of transportation from

the permanent official station to the destination or place of work and back

and a reasonable cost for meals. The total actual fare and cost of meals

and incidental expenses shall in no case exceed four hundred pesos (Php

400.00) per day.

Within thirty days of the researcher’s return to his/her permanent official

station he/she shall render an account of the cash advance received by

him/her in accordance with existing applicable rules and regulations

and/or such rules and regulations as may be promulgated by the

Commission on Audit for the purpose. Failure to do so will mean the

suspension of the researcher’s salary from the University until he/she

complies therewith.

The researcher shall also be allowed reimbursement of premium for

accident insurance coverage, not exceeding two hundred thousand pesos

(Php200,000.00) for the duration of his/her official travel. Under no

Particulars Percentage To Cover

Arrival not later than 12:00 100% Hotel/lodging (50%); meals (30%)

Arrival after 12:00 noon 80% Hotel/lodging (50%); meals (10%)

Departure before 12:00 noon 30% Breakfast (10%) and incidental ex-

Departure at 12:00 noon and

later

40% Breakfast (10%), lunch (10%) and

incidental expenses (20%)



circumstances, however, shall premiums on insurance of personal or

household effects be charged to government funds.

The URDS Unit shall establish the monitoring and evaluation procedures to

determine the status of researches implemented by the different degree

granting units.

The RDS Chairpersons shall be responsible in conducting regular monitoring

of researches in their respective college, school or unit.

The RDS Chairpersons shall submit quarterly Research Progress Report of

their respective college, school or unit to the ODRDS using the monitoring

instrument.

The DRDS shall or may create a Technical Evaluation Team to review and

validate the submitted progress reports.

The RDS Chairpersons and the Research Project Leader shall be provided a

copy of the results of the evaluation.

The ODRDS and OVPRE shall be furnished copy of the results of evaluation

for official submission to the concerned offices and to the funding

institutions.

The on-going research project could be extended or terminated for valid

reasons subject to the approval of the University President.

The Research Project Leader may request extension of research, with a grace

period of two months, granted to a project from the date of its expected

completion to complete final report.

In case the proponent failed to submit final report after the grace period, the

researchers may request for a maximum of another two months extension

period subject to the evaluation of the URC and approval of the University

President.



No additional funding shall be granted during the extension period and the

researcher shall not be entitled to receive honorarium or service credit in the

extension period.

If the proponent still fails to finish the project after the extension, the

researcher shall be required to submit a final report and a letter explaining

the reasons of failure to complete the research project.

Failure to complete the research project given the extension period shall

result reverting of the remaining amount left of the research fund to the

University Research Fund, and the honorarium received by the project

proponents shall be refunded to the University.

For collaborative researches, the proponent may request for extension to the

funding institution with transmittal letter from the University President.

The Research Projects shall be terminated by the University President and

fund released shall cease when the researchers leave of duty without the

approval of the concerned authorities of the university were suspended from

duties in the university offense, and failed to submit final copy of research

report.

Final reports submitted by the researchers are considered property of the

University. The ODRDS, after duly notifying the author, has the right to disseminate

results in its own publications.

However, the researchers may publish the full or partial results of the

research in other local, regional, national or international publications with the

written consent for publication which shall be approved by the concerned

authorities of the university.

The Office of the Director for Intellectual Property provides procedures and

application for Intellectual Property Rights. The Intellectual Property (IP) Code of



the Aklan State University approved on the 33rd Regular Board Meeting of the

Board of Regents last March 14, 2009 at the WVCST Function Room, Western

Visayas College of Science and Technology, La Paz, Iloilo City, Iloilo shall be adopted

to protect the intellectual property of the university and rights of researchers.

The University IP Code covers all researches, research contracts, tangible

research properties or outputs with or without patent or copyright protection,

whether for commercial and non-commercial purpose, undertaken using any

university resource and including all material transfer and license arrangements.

The University’s IP Code also covers all types of intellectual property rights

enumerated under the IP Code of the Philippines (RA 8293): copyright and related

rights, trademarks and service marks, geographic indications, industrial designs,

patents, layout designs (topographies) of integrated circuits, and protection of

undisclosed information, as well as the plant breeders’ rights under the Plant

Variety Protection Act of 2002.

The University shall adopt the following awards and incentives for

researchers in addition to those stipulated in RA 8439 or the Magna Carta for

Scientists, Engineers, Researchers and Other S &T Personnel in Government:

Workload Credits of Faculty-Researcher. The Faculty-researcher load

credit shall be based from the Faculty Manual of the University on Workload

conducting research work with no honoraria shall be given research work credits

which shall not exceed 9 Equivalent Teaching Loads (ETLs) per semester.

College/School Research Chairperson - 3 units

Program Leader - 9 units

Project Leader - 6 units

Study Leader and Other Researchers - 3 units

For administrators who have 6 ETLs for their administrative loads, a

maximum of 3 ETLs for research shall be given and credited upon submissions of

periodic and final outputs.



Faculty-researchers are required to submit monthly research progress report

that shall be consolidated at the end of the semester to the ODRDS, copy furnished

OVPRE, VPAA and their respective Dean and Executive Directors of proponents to

justify credit claims for research services for the semester.

The honoraria of the faculty doing institutional research shall be based from

the DBM Budget Circular No. 2007-2 dated October 1, 2007 prescribes guidelines

on the grant of honoraria due to assignment in government special projects.

The honoraria of faculty-researcher shall be released upon the submission of

Progress Report to the ODRDS, and the releases of honoraria shall be in three

payments based on the following percentages:

1. First payment: 30% of the total honoraria upon submission of first

quarter progress report based on the approved work plan;

2. Second payment: 30% upon submission of revised final report based on

recommendations generated in the annual review;

3. Final payment: 40% upon submission of an acceptance receipt for

manuscript publication from the editor of a local, regional, national or

international research journal within six months after the completion of

the project, and the research equipment shall be returned to the supply

office of respective college, school or unit.

4. For Institutional Research Project, the minimum rates of honoraria of the

Project Leader, Study Leader and Researchers per month are as follows:

Project Leader: PhP3,000.00

Study Leader: PhP2,500.00

Researcher: PhP2,000.00

5. For Collaborative Research Project, the rate and the releases of honoraria

shall be based from the MOA, and the Terms of Reference approved by the

University President.

6. Likewise, the administrative personnel who rendered administrative and

support services to this special project, including but not limited to

personnel, financial, records and supply management, and other auxiliary



services shall be entitled to receive the incentives subject to the approval

of the university president.

Researchers are encouraged to attend local, national and international

conferences, seminars, trainings and study tours to promote exchange of

knowledge and scientific information.

Their participation shall be funded by the University Research Fund or

sponsored by the sponsoring agencies subject to the approval of the University

President.

Awards and incentives shall be given to the deserving researchers, who

presented researches with scientific body of knowledge, innovative research

methods, and generates new knowledge and technologies that shall contribute to

realize the vision and mission of the university.

The new knowledge and technologies generated shall have an impact and

useful to food security, facilities and services modernization, forest and

environmental conservation, disaster and health awareness/advocacy, renewable

energy maximization, human capability building, tourism development and

promotion, and gender and development.

The following are the awards and incentives of researchers subject to the

availability of funds:

In-House Review

Best Completed Research Php 5,000.00 + Certificate

Best Presenter Php 2,000.00 + Certificate

Best On-Going Research Php 4,000.00 + Certificate

Best Presenter Php 2,000.00 + Certificate

Best Poster Php 3,000.00 + Certificate



Incentives for Poster and Research Presenters

Category Presentation With award

Regional 2,000.00 3,000.00

National 4,000.00 5,000.00

International 8,000.00 10,000.00

Publication of Paper

ISI Journals Php 30,000.00

International refereed Journal ISSN/ISBN Php 25,000.00

National refereed Journal ISSN/ISBN Php 15,000.00

Regional refereed Journal ISSN/ISBN Php 10,000.00

Local refereed Journal ISSN/ISBN Php 5,000.00

The wards and incentives shall be awarded to the researchers with the

following provisions:

1. Awards and Incentives for the publication of full papers shall only be

given to regular faculty-researchers who are in active service in the

university.

2. The published research output must fall within the discipline or related

field of the author and must be a solid piece of research.

3. If the work is included or cited in an article authored by another, the cited

portion shall not qualify for the incentive.

4. In the case of co-authorship, the incentive shall be divided equally among

the number of the authors, but only ASU authors shall be awarded,

provided that the output must be fall within the discipline or related field

of the author.

5. Should a publication for which an employee was awarded later be

withdrawn or retracted by the publisher owing to misrepresentation of

data or authorship, plagiarism or some unethical act, the authors shall



return the full amount of the incentive, without prejudice to the

application of other University sanctions.

6. To apply for the research awards and incentives, the researcher shall

submit the copy of published article and other pertinent documents to

the ODRDS as evidence for the claim of awards and incentives.

7. The submitted documents shall be evaluated by URC or Research Awards

and Incentives Committee, and the releases of awards and incentives shall

be subject to the availability of funds and approval of the University

President.

All other University guidelines inconsistent with these policies are deemed

amended and/or repealed accordingly.

The rules and guidelines set out in this manual may be amended by the

University from time to time. The University shall undertake to notify University

personnel and students as soon as practicable of the amendments so made. In any

case, the amendments shall be in full force and effect on the date the amendments

have been announced by the University to take effect.

This University Research Operation Manual shall take effect upon approval

by the ASU Board of Regents.

A Compilation of the

Aklan State University Code,

Operation Manual, and

Policies

Aklan State University Code……………………………...………….…………..5

The Intellectual Property (IP) Policies …………………………………..71

The University Extension Manual …………………………….…………...91

The Research Operation Manual …………………………………………133

ASU Manuals: A Compilation

Education

aklan state university

university president

operation manual

asu code

university officers

university budget

university existence

university personnel