Planning Process
The Higher Education Institutions (HEIs) role had become vital in recent years as the Philippine educational progresses due to changes and advances in higher education across the world. In this connection, there were crucial challenges that emerged and the HEIs are expected to help achieving the Sustainable Development Goals (SDGs) for 2030 of the United Nations (i.e., end poverty in all its forms everywhere, and inclusive and equitable quality education and promote lifelong learning opportunities for all). To realize and achieve these goals, the University of Southern Mindanao (USM) pulled out and anchored the different international, national, and regional goals and/or plans such as the United Nations’ Sustainable Development Goals for 2030, AmBisyon Natin 2040, Philippine Development Plan (PDP) 2023-2028, Mindanao 2020 (Peace and Development Framework Plan 2011-2030), and SOCCSKSARGEN Regional Development Plan (RDP) 2023-2028 (as shown in Figure 1). Thus, the creation of USMs Institutional Development plan (IDP) 2023-2028 was realized and approved as stipulated in the BOR Resolution No. 180, s. 2018.
Background of the University Plans
Figure 1. The University’s Planning Process
Approved USM Strategic Plan
The 5-year Strategic Plan of the University for 2023-2028 is the roadmap towards the realization of the medium-term PDP 2023-2028 that is anchored to the long- term AmBisyon Natin 2040, a long-term vision of the Philippines to have (strongly rooted), “Matatag” “Maginhawa” (comfortable) and “Panatag na Buhay” (secure life). The areas being considered for strategic policies, programs, and projects to achieve the AmBisyon Natin 2040 are: (a) building a prosperous, predominantly middle class society where no one is poor; (b) promoting a long and healthy life; (c) becoming smarter and more innovative; and (d) building a high-trust society. These areas are in pursuit of the realization of “AmBisyon Natin 2040” where anchored also from the SDGs for 2030 of the United Nations.
Figure 2. The University Development Agenda towards AmBisyon Natin 2040
Aside from Strategic Plan, the University is currently classified its plans into the following: Land Use Development and Infrastructure Plan (LUDIP) and Operational Plan. LUDIP is a university’s master plan containing the distribution and development of land within a university’s geographic border to satisfy the needed academic and non-academic support infrastructure and services. On the other hand, Strategic Plan is a written document of the midterm plan of the University’s goals, and the actions needed to achieve those goals by 2023-2028. To achieve the Strategic goals for five (5) years, the University sets an Operational Plan annually. The Operational Plan is a written document of the annual plan of the University that outlines the key activities and targets a university will undertake based on the major organizational outcomes/outputs in each period. The Strategic Plan and Operational Plan documents must be congruent with each other to address the uniformity of achieving the goals/ objectives of the University. This narrative report discusses in detail the different plans of the University of Southern Mindanao (USM).
USM Strategic Plan for 2023-2028
Figure 3. USM Strategic Framework
The strategic goals of the university are categorized into the following: a) good governance (enhanced administrative governance); b) academic excellence (quality education, and improved research quality); and c) continuous advancement (utilization of new knowledge and technology, profitable and sustainable resource generation activities, peaceful and clean environment, and accelerated infrastructure development). These strategic goals are in line with the USMs Vision, Mission and Core Values, to laydown the foundation for inclusive growth, high trust, and resilient society, and globally competitive knowledge economy that anchor to the different goals and plans locally and globally (as shown in Figure 3). The strategies and targets to achieve these goals are deliberated during the academic council meeting (composed of Unit Heads/Directors/Deans).
The quality plan is implemented in accordance with the criteria set or targets. The schedule of implementation will depend on the budget appropriations. Programs, projects and activities (PPAs) which will not require large appropriations will be accomplished simultaneously with other PPAs.
The Unit Heads/Directors/Deans will be responsible for the implementation of their units’ PPAs and will be coordinated and acted upon by the appropriate responsibility centers (Bids and Awards Committee and Office of the President for review and approval). Once approved, the program of work and implemented of unit’s PPAs will be coordinated closely with Physical Plant and Development Office (PPDO) and Financial Management Services (FMS). The initial activities will be followed by those which require more but not inordinately large amounts.
For Capital-Intensive Activities, the university shall appropriate budget or forge partnerships with other funding agencies and follow program of work for implementation. The implementation of the four-fold functions of the University such as Instruction, Research, Extension and Resource Generation shall be done simultaneously in accordance with the budget appropriated per office and in the timeline set during the plan design.
The five-year budget for the implementation of the USM Strategic Plan is premised on the following: 1) the current financial resource of the institution’s needs to be increased significantly to pursue the school’s directions, and 2) aggressive resource mobilization to schemes will substantially contribute to the generation of funds necessary to achieve the university’s medium and long-term goals. The institutions total budget was based on the three major sources of funds, namely: 1) allotments from the General, Appropriations Act (GAA) of the General Fund, 2) allotments from income generated by various income generating projects and 3) Donations and Grants. To ensure the achievement of the initiatives, a monitoring and evaluation (M & E) mechanism should be established to provide USM decision makers with the necessary information for the effective and efficient management of the envisioned initiatives. Specifically, the implementation of strategies must be monitored and evaluated regularly and periodically for many essential reasons among other are as follows: to improve its chances of success; to incorporate the lessons of experience; to identify possible changes, such as modifications in guidelines and procedures; and to suggest changes in policies, because of evidence in practice of alternative approaches.
The quality plan of the Unit/College shall be monitored and evaluated by the Unit Heads/Directors/Deans and the Planning and Development Office preferably on a quarterly basis and as applicable. This is to ensure that plans are achieved accurately and timely. Mitigation measures shall be set and enforced once the ongoing implementation deviates from the original plan or if not achieved on time. The Planning and Development Office (PDO) shall be the primary unit charged with monitoring compliance of the plan. It will be obtaining its data from all responsibility centers of the university which will be submitting such data on a quarterly basis and as applicable. For instance, the colleges shall submit data on enrolment, board examination performance, program accreditation status, revenues if any, human resource development activities, number of graduates, linkages, employment if such data is available, research and extension activities and number of beneficiaries thereof, and others. Such data gathering activity will be facilitated by linking the units through an Internet. The responsibility centers may submit the data directly to the PDO or send those through the internet.
Data gathered shall be presented in appropriate forms for easy access and utilization by all authorized entities. Annually, the responsibility centers shall submit their targets to the PDO. Such targets shall be set jointly with the Vice-President concerned and presented to the Administrative Council and if necessary to the Board of Regents for approval. The evaluation process shall be undertaken by all responsibility centers. Units with university-wide coverage shall also conduct evaluation, such as the Offices of the Vice-Presidents, the Human Resource Management and Development, the Financial Management Services, and others as may be necessary. The evaluation process shall be made with reference to the targets of the centers and shall be tied up to the promotion system and performance-based benefits that may be given to employees.
The calendar year 2023-2028 Strategic Plan of USM presented the key result areas (KRAs) of each mandated functions: instruction, research, extension and resource generation, and the general administration and support services of USM at the end of the planning period. To achieve the KRAs, objectives and targets must be set. These are outlined in the following plans of the units concerned. For instruction, the KRAs were divided into the following: student concerns, faculty and staff concerns, academic program concerns, and licensure performance examinations. These KRAs must be targeted by the Academic Units of different colleges.
Memorandum of Conducting USM Strategic Planning Workshop
Program of USM Strategic Planning Workshop
Strategic Plan Cover Page
Annually, the Planning Development Office (PDO) conducts Operational Planning based on the strategic plans and the evaluation done in the previous year to lay down the plan targets for different KRAs under Instruction, Research and Extension Services, Resource Generation, and General Administration and Support Services. There are eight steps followed in the Operational
Planning and Control Procedure (USM-PD0-001- Rev.2.2020.06.01).
USM Operational Plan 2023-2028
Figure 4. USMs Operational Planning and Control Procedure
In Step 1, the unit heads draft the unit's quality plan design, program, projects, and activities (PPAs) and targets. These data are collected and analyzed by the PDO (Step 2). In Step 3, the preparation of plans shall be coordinated with the concerned unit heads. The Vice President (VP) for each function consolidates the plans from the three campuses and submit these to the PDO. The consolidated plans of the different units under the four functions becomes the institution's operational plan (OP). The Administrative Council, BOR Committee on Administration and Finance and the Board of Regents approves the OP in Step 4. In Step 5, the quality plan is implemented in accordance with the targets set. ed upon by the appropriate responsibility centers. The unit heads implement their unit's programs, plans, and activities (PPAs), which arc coordinated and acted upon by the appropriate responsibility centers. The implementation of the four-fold functions is done simultaneously in accordance with the budget appropriated per office and in the timeline set during the plan design. depends on budget appropriation. In Step 6, the PDO is the primary unit in-charge with monitoring the compliance of the plans on a quarterly basis and as applicable to ensure that plans are achieved accurately and timely. The Office of the Vice-Presidents, the HRMD, the FMS and other units conduct the evaluation. This evaluation process is based on the targets and is tied up to the promotion system and performance-based benefits that may be given to employees.
The unit heads implement their unit's programs, plans, and activities (PPAs), which arc coordinated and acted upon by the appropriate responsibility centers. The implementation of the four-fold functions is done simultaneously in accordance with the budget appropriated per office and in the timeline set during the plan design. depends on budget appropriation. In Step 6, the PDO is the primary unit in-charge with monitoring the compliance of the plans on a quarterly basis and as applicable to ensure that plans are achieved accurately and timely. The Office of the Vice-Presidents, the HRMD, the FMS and other units conduct the evaluation. This evaluation process is based on the targets and is tied up to the promotion system and performance-based benefits that may be given to employees. After this, in Step 7, the PDO facilitates the conduct of the Semi-Annual and Annual Review Planning Seminar Workshop in which the unit heads present their accomplishments for documentation, critiquing, and assessment by the Performance Management Team (PMT).
It is composed of the SPMS Champion, VPAF, HRMDO Director, HRMDO-Learning and Development Head, FMS Director, PDO Director, UQAC Director, USMFAI President, USMASSA President, Alumni Representative, Student Representative, and the Head and members of the Secretariat. For IPCR, the HRMDO facilitates the analysis. The operational planning for the succeeding year is also discussed, planned, and documented. In the last step (Step 8), reports that have been monitored and reviewed by PDO are submitted to external agencies attached to the University for appropriate updating of the operations after consolidation and packaging.
Approved Operational Plan for 2021
Approved Operational Plan for 2020
Approved Operational Plan for 2022
Approved Operational Plan for 2023
Approved Operational Plan for 2024
Approved Operational Plan for 2025
Approved Operational Plan for 2026
l
Operational Plan for 2025
Samples
Operational Plan for 2025 QR CODE
Organizational Outcomes (OOs) for 2020-2021
and Targets and Accomplishments
Based on the National Budget Circular (NBC) 532 on November 28, 2021, major final outputs are the goods and services that a department is mandated to deliver to external clients through the implementation of programs, activities, and projects. In 2017, the University identifies these MFOs which are output-based; however, in 2018, the University shifted from MFOs to Organizational Outcomes (OOs), which are outcome-based found in the General Appropriations Act (GAA) of Department of Budget and Management (DBM) for SUCs.
The following section are the MFOs and OOs/Performance Indicators with corresponding targets of the University of Southern Mindanao (USM) for 2018-2022 excerpt from GAA:
Organizational Outcomes (OOs) as of 2026
Organizational Outcomes (OOs) as of 2026
Organizational Outcomes (OOs) as of 2026
Based on the Memorandum Circular No. 6, s. 2012 from the Civil Service Commission, Strategic Performance Management System (SPMS) is a mechanism that links employee performance with organizational performance to enhance the performance orientation of the compensation system. It ensures that the employee achieves the objectives set by the organization and the organization, on the other hand, achieves the objectives that it has set as its strategic plan.
Figure 5. The USM SPMS Four-Stage Cycle
USM Strategic Performance
Management System (SPMS)
The SPMS has four stages (as shown in Figure 5). In Stage 1, unit heads meet with the supervisors and staff and agree on the outputs that should be accomplished based on the goals/objectives of the University. During this stage, success indicators (SI) are determined. These serve as bases in the office and individual employee’s preparation of their OPCR and IPCR.
During the performance monitoring and coaching phase (Stage 2), the performance of the units and every individual is regularly monitored at various levels on a regular basis. Monitoring and evaluation mechanisms are in place to ensure that timely and appropriate steps can be taken to keep a program on track and to ensure that its objectives or goals are met in the most effective manner. Performance evaluation is done semi-annually.
The Performance Review and Evaluation (Stage 3) aim to assess both unit and individual employee’s performance level based on performance targets and measures as approved in the OPCR and IPCR. The Planning and Development Office (PDO) consolidates, reviews, validates, and evaluates the initial performance assessment of the unit heads based on reported office accomplishments against the SI, and the allotted budget against the actual expenses.
The result of the assessment is submitted to the Performance Management Team (PMT) for calibration and recommendation to the President, who determines the final rating of units.
The immediate supervisor assesses individual employee performance based on the commitments made at the beginning of the rating period. Performance measures shall include anyone, combination of, or all the general categories, whichever is applicable: Effectiveness/Quality, Efficiency, and Timeliness (Figure 4.1-1).
The last stage is the Performance Rewarding and Development Planning (Stage 4). Part of the individual employee’s evaluation is the competency assessment vis-à-vis the competency requirements of the job. The result of the assessment is discussed by the unit heads and direct supervisors with the individual employee at the end of each rating period. The discussion shall focus on the strengths, competency-related performance gaps and the opportunities to address these gaps, career paths and alternatives.
Memorandum Circular No. 6, s. 2012
from the Civil Service Commission
Sample Content of USM’s SPMS
USM GRADUATE SCHOOL
MS Agronomy • MS Horticulture • MS Crop Protection
Program Planning Process aligned with the University of Southern Mindanao (USM) Strategic Planning, Operational Planning, Quality Assurance, and AACCUP Level IV expectations
Integrated Graduate Program Planning and Quality Assurance Framework
The succeeding slides contextualize the USM planning process for three agriculture graduate programs while retaining the University planning and quality assurance data that follow.
The program plans cascade from national/regional agriculture and higher-education directions to USM strategic and operational plans, then to Graduate School and program implementation.
Graduate School Planning Framework
PROGRAM PLANNING
External & National
Anchors
USM Institutional
Direction
Graduate School
Planning
Performance
& QA
University of Southern Mindanao • College of Trades and Industries • BSIT
SDGs 2030 • AmBisyon Natin 2040 • PDP 2023–2028 • Mindanao 2020 • SOCCSKSARGEN RDP 2023–2028 • CHED/DA priorities
USM IDP 2023–2028 • Strategic Plan • LUDIP • University Operational Plan • four-fold functions
MS Agronomy • MS Horticulture • MS Crop Protection: objectives, PPAs, targets, research outputs, stakeholder needs, risks/opportunities and QA evidence
OPCR/IPCR • quarterly monitoring • semi-annual/annual review • internal audit • accreditation compliance • CQI
A program-level application of the eight-step USM Operational Planning and Control Procedure (USM-PDO-001).
Graduate Program Operational Planning and Control Cycle
PROGRAM PLANNING
1. Diagnose & Draft
Program heads/faculty define quality plan design, PPAs, indicators, targets and priority research/graduate outcomes.
2. Consolidate Data
Collect and analyze prior-year accomplishments, student data, research outputs, extension/linkage results and resource gaps.
3. Coordinate
Align plans with Graduate School, College of Agriculture/concerned units, VP functional offices and responsibility centers.
4. Approve
Route the consolidated plan through USM approval and budget/resource allocation processes.
5. Implement
Implement instruction, thesis/research, extension, graduate student support, laboratories, linkages and capability-building PPAs.
6. Monitor & Evaluate
Monitor targets and evidence; identify variance, risks, opportunities and actions.
7. Review & Improve
Use mid-year/year-end reviews, stakeholder feedback and audit findings to refine PPAs and resource allocation.
8. Report & Update
Validate accomplishments, report results, update evidence and feed improvements into the next planning cycle.
University of Southern Mindanao • College of Trades and Industries • BSIT
Planning priorities translate USM strategic goals into a coherent graduate agriculture portfolio while preserving the distinct scholarly identity of Agronomy, Horticulture and Crop Protection.
Three-Program Strategic Planning Priorities
PROGRAM PLANNING
1. Advanced Graduate Instruction
Current, research-informed graduate courses; outcomes-based assessment; curriculum review; seminar/thesis quality; alignment with emerging agriculture and climate-resilient production needs.
2. Research & Innovation
High-quality thesis/research portfolio; publications; funded projects; technology development; research utilization; interdisciplinary work across crop production, horticulture and crop protection.
3. Faculty & Research Mentorship
Qualified graduate faculty; research supervision capacity; continuing professional development; collaboration with research centers, agencies and industry.
4. Laboratories, Farms & Learning Resources
Adequate and safe laboratories, field/research sites, equipment, collections and digital resources; maintenance, calibration and utilization evidence.
5. Stakeholder & Community Impact
Needs-based research/extension; technology dissemination; farmer/community engagement; partnerships with DA, LGUs, research institutions and industry.
6. Internationalization & Benchmarking
Research collaboration, visiting scholars, joint activities, benchmarking, publication networks and international linkages where applicable.
7. Graduate Student Success
Advising, research mentoring, timely thesis completion, professional development, tracer/alumni engagement and student feedback.
8. Governance, QA & Resource Stewardship
VMGO alignment, risk/opportunity management, document control, internal audit, accreditation evidence, budget alignment and continuous improvement.
University of Southern Mindanao • College of Trades and Industries • BSIT
The planning process should generate evidence of systems, implementation, outcomes and improvement across the ten accreditation areas.
Graduate Program Planning Matrix: AACCUP Ten Areas
AACCUP ALIGNMENT
AACCUP Area | Planning Focus for the Three MS Programs | Illustrative Evidence / Indicator |
I. VMGO | Graduate program alignment, review and stakeholder participation | Approved VMGO; review minutes; dissemination; stakeholder feedback; program congruence |
II. Faculty | Qualifications, supervision load, development and research productivity | Faculty profiles; credentials; training; research supervision; performance and development records |
III. Curriculum & Instruction | Graduate outcomes, course relevance, curriculum review and assessment | Curriculum map; syllabi; course evaluation; assessment results; curriculum review/CQI |
IV. Support to Students | Advising, research mentoring, thesis completion and career/alumni support | Advising records; completion data; student feedback; career activities; tracer/alumni data |
V. Research | Program research agenda, thesis quality, publications, funding and utilization | Research portfolio; thesis outputs; publications; grants; citations/utilization; innovation evidence |
VI. Extension & Community | Research-to-extension pathways and measurable community impact | Extension agenda; partner profiles; technology transfer; community feedback; impact assessment |
VII. Library | Adequacy and access to specialized agricultural and scientific resources | Print/e-resources; database access; usage statistics; user feedback; resource development plan |
VIII. Physical Plant & Facilities | Graduate classrooms, research spaces, field sites and safety | Facilities inventory; safety checks; maintenance; accessibility; development priorities |
IX. Laboratories | Research-grade laboratories, equipment, protocols, calibration and utilization | Inventory; calibration/maintenance; SOPs; utilization; safety records; acquisition plan |
X. Administration | Graduate governance, records, budgeting, linkages and quality assurance | Org structure; policies; budget; document control; audit/accreditation records; management review |
University of Southern Mindanao • College of Trades and Industries • BSIT
Level IV preparation should demonstrate excellence beyond compliance through documented outcomes, impact, benchmarking, sustainability and a well-developed planning process.�
AACCUP Level IV-Oriented Outcomes for the Graduate Programs
AACCUP LEVEL IV
1. Research Excellence
Quality, quantity, relevance and impact of graduate research; publications, presentations, funded projects, innovations and utilization.
2. Graduate Learning Excellence
Strong thesis/research outputs, scholarly competencies, timely completion, professional advancement and evidence of continuing learning.
3. Community Service Impact
Research and extension that address agricultural needs and demonstrate measurable benefits to farmers, communities, agencies or industry.
4. International Linkages
Functional partnerships, joint research/academic activities, scholarly networks, mobility or benchmarking, with documented benefits.
5. Planning & Quality Assurance
Integrated plans, measurable targets, resource alignment, monitoring, evaluation, corrective action, risk management and continuous improvement.
Design principle: every major PPA should specify the target, responsible person/unit, resource requirement, evidence source, review
frequency, risk/opportunity and improvement action.
University of Southern Mindanao • College of Trades and Industries • BSIT
Application of the USM Quality Assurance Plan (2023–2028) to MS Agronomy, MS Horticulture and MS Crop Protection.
Plan to Support Quality Assurance: Graduate School Programs
QUALITY ASSURANCE
QA Mechanism | Program Application | Frequency / Trigger | Responsible / Evidence |
Document Control | Maintain controlled curricula, syllabi, thesis/research procedures, forms, minutes, reports and accreditation exhibits. | As documents are created/revised | Program/GS QA focal; controlled files and revision history |
Internal Audit | Audit selected graduate processes and evidence against USM-QMS, program targets and accreditation requirements. | USM audit cycle; risk-based as needed | Internal Audit/UQAO + process owners; audit reports |
Stakeholder Feedback | Analyze graduate student, alumni, faculty, research partner, employer/industry and community feedback; convert findings into actions. | Regularly; consolidated for review | GS/program teams; feedback records and action plans |
Accreditation Management | Maintain AACCUP evidence, internal assessment assignments, readiness checks and recommendation monitoring. | Before/during/after accreditation | UQAO + Graduate School/program task force |
Corrective Action | Record nonconformities, determine causes, implement actions, verify effectiveness and standardize effective changes. | When NC/issue is identified | Process owner + UQAO; S/CAR and monitoring records |
Management Review / CQI | Use performance, audit, feedback, risks, objectives and opportunities to determine improvement priorities. | Semi-annual / annual review cycle | Graduate School leadership + UQAO/concerned units |
University of Southern Mindanao • College of Trades and Industries • BSIT
The program-level cycle connects planning, implementation, evidence, review and improvement to the USM quality management system.
Three-Program Monitoring, Evaluation and Continuous Improvement
QUALITY ASSURANCE
1. PLAN
Set program targets and PPAs; align faculty, research, facilities and budget resources; identify risks/opportunities; define evidence and responsibilities.
2. DO
Implement graduate instruction, research/thesis supervision, extension, student support, laboratory/field activities and linkages.
3. CHECK
Review accomplishments, graduate outcomes, thesis/publication results, stakeholder feedback, audit/accreditation findings and resource use.
MS AGRONOMY�MS HORTICULTURE�MS CROP PROTECTION�QUALITY LOOP
4. ACT
Implement corrective action, revise procedures/PPAs, reallocate resources, standardize effective practices and feed improvements into the next plan.
University of Southern Mindanao • College of Trades and Industries • BSIT
A practical calendar for keeping the three programs continuously ready for USM monitoring, QA review and AACCUP evaluation.
Graduate School Annual Planning and Evidence Calendar
IMPLEMENTATION
Planning / QA Activity | Primary Output | Key Evidence | Suggested Timing |
Strategic / Operational Planning | Program Quality Plan, PPAs and targets | Approved plan; resource requirements; risk/opportunity actions | Annual planning cycle |
Implementation & Data Capture | Accomplishment and outcomes records | Enrollment; graduate outcomes; research; thesis; extension; facilities/labs; linkages | Continuous |
Quarterly Monitoring | Variance and mitigation actions | Accomplishment vs target; issues; action tracker | Quarterly |
Internal QA / Audit | Findings and corrective actions | Audit checklist/report; NC/OFI; S/CAR; action verification | USM audit schedule / risk-based |
Stakeholder Evaluation | Feedback and improvement priorities | Student/alumni/partner/community feedback; analysis | At least annually / as applicable |
Mid-Year Review | Validated accomplishments and adjustments | Review minutes; revised actions/targets | Mid-year |
Year-End Review | Performance assessment and next-year plan | Annual accomplishment; lessons learned; next Operational Plan | Year-end |
Accreditation Readiness | Updated evidence repository and compliance status | AACCUP exhibits; recommendation monitoring; compliance reports | Continuous; intensified before visit |
University of Southern Mindanao • College of Trades and Industries • BSIT
Program-status note: The supplied USM QA Plan records MS Agronomy and MS Horticulture as Level III re-accredited (Sept. 1, 2024–Aug. 31, 2026; revisit 2026).
MS Crop Protection is a current Graduate School offering; its specific accreditation status is not stated in the supplied QA-plan table.
The strategy development process stimulates and incorporates innovation through referring to the recent development advances outside the university, benchmarking with international schools and qualifications, and incorporating the new policies from statutory and regulatory bodies.
USM’s opportunities are identified using the Opportunity Management Sheet (USM-SYS-F81- Rev.2.2020.08.06). As stated in the Risk and Opportunity Management Procedure (USM-QMS-029- Rev.3.2021.03.05), opportunities are positive effects of risks, as in a risk forcing implementation of a risk reduction measure that is beneficial in a broader context than just reducing this particular risk. Taking or not taking an opportunity presents different levels of risk. To evaluate these risks, taking (or not taking) the opportunity is defined as a risk management project and the associated risks are evaluated as for any project.
Innovation
USM collects data by (1) looking into the historical data through the annual report of the University; (2) benchmarking, which is done by visiting, identifying, and comparing the good practices of international and local universities; (3) identifying client demand, in which the University sets targets based on the needs of its clients, consults stakeholders, and review the feedback on its services; (4) taking into account government regulations and policies; and (5) identifying future trends, which are the comparative analysis of the actual performance of the unit and its potential performance.
Data analysis is done through the University's midyear (May) and year-end (November) review. These reviews also involve presentation of the unit’s risks and opportunities (RO), as well as their accomplishments. SL consider the issues identified as internal and external and their requirements and determine the RO to be addressed. They also plan actions to address the RO, plan activities to integrate and implement the actions into its QMS process and evaluate the effectiveness of these actions.
Strategy Considerations
When SL determine the need for changes, these changes shall be carried out in a planned manner. SL consider the purpose of the changes and their potential consequences; the integrity of the QMS; the availability of resources such as faculty, infrastructure, equipment, software, and facility; and allocation or reallocation of responsibilities and authorities. The University employs a Plan-Do-Check-Act (PDCA) cycle to ensure the development, continual improvement, and control of its QMS.
There are only two key work systems of USM: Core and Support. Instruction, research development, and extension services belong to the core work system, while resource generation and general administration and support services comprise the support key work system. The units, with the approval of the President and the PMT, decide which key processes will be accomplished by external suppliers and partners for infrastructure, goods, and consultancy services. For special projects, a special committee is created to evaluate which external suppliers and partners the University will outsource from. The outsourcing depends on the needed expertise. For example, PMET serves as the monitoring body for infrastructures and COSEDA Security Services provides the security personnel of the University. External providers go through the Procurement Procedure (USM- PRO-003-Rev.7.2021.12.02). The performance of the external services is monitored and evaluated by a committee created for this purpose.
Work Systems and Core Competencies
Key Strategic Objectives
USM’s key strategic objectives are categorized into short- and long-term (Table 2). The short- term plans, which are measured annually, are aligned with the Organizational Outcomes (OO). The long- term strategic plans to be attained after five years are based on USM strategic goals. The most important goals for these strategic objectives are to deliver inclusive quality higher education to students in the society and to improve research quality for competitiveness. The planned changes in the University are shown in Table 1 below.
Strategic Objectives
Table 1. USMs Planned Changes | |
Educational Programs | Strengthening Outcomes-Based Education Incorporation of Flexible Learning to the Curriculum Continue Online Accreditation ISO 2018 Certification ISA Certification PQA Certification Improve international visibility in education, research development, and extension |
Customers | Employ online client satisfaction feedback mechanism AGAPAY (USM Clientele’s Hotline) |
Suppliers | Allow online accessibility of biddings and submission of documents |
Partners | Organize and conduct webinars with partner institutions (Local, Regional, National, International) |
Operations | Streamline the procurement procedure Utilize SINUPAN (USM’s archival database) YAMANG TAO (online streamline from Strategic Plan to IPCR) Employ Future’s Thinking Initiative for Strategic Planning |
Resource Generation | Employ Techno-Commercialization (partnership with private entities for resource generation activities |
USM ensures that its strategic objectives are balanced appropriately through its SPMS and the PMT. The SPMS is a mechanism that ensures that the employee achieves the objectives set by the organization and the organization, on the other hand, achieves the objectives that it has set itself in its strategic plan. The PMT, along with the concerned units such as the PDO, UQAC and HRMDO, make sure that the IPCR, OPCR, and Operational Plan (OpPlan) are aligned to the OO.
By considering both the short- and long-term data, setting targets twice a year (OPCR & IPCR), planning yearly (OpPlan), every five (Strategic Plan) and ten (LUDIP) years, and making certain that the OO are strategic, USM balances short- and long-term challenges and opportunities. The University also ensures that the needs of the students and stakeholders are considered and balanced by remaining focused on its Vision, Mission, General Objectives, Core Values, and QPS while taking continual steps to know and understand their requirements and preferences.
Strategic Objective Consideration
A. Action Plan Development and Deployment
Action Plans
The key short- and long-term plans are shown in Table 2. Their relationship is shown in Figure 1. In developing the action plans (AP), internal and external environment forces were considered to come up with realistic strategies and programs for the University. The AP were based on the SWOT assessment.
Strategy Implementation
Action Plan Implementation
The University fully deploys its AP to all workforce members through the conduct of annual planning seminar workshops, coaching and monitoring, where SL and all unit heads convene to identify the OpPlan of the University. Individual units are also required to conduct this activity for their staff and/or faculty after the operational planning. AP are systematically deployed to key suppliers, partners and collaborators during the contract signing and partnership meetings. Meetings are held to update them on the progress so that adjustments to AP can be made. To ensure that USM can sustain the key outcomes of the AP, performance monitoring is conducted through mid-year and annual review. Strategic plans are visited and evaluated on a yearly basis. Strategic plans are also reviewed at the middle and end of the strategic period.
Resource Allocation
PPA are prepared three years ahead of the implementing period as part of the policy of the government to make sure that financial and other resources are available. Prioritization of
projects are done to ensure that PPA that are most needed are implemented. Individual unit’s PPA are based on its actual budget capabilities. PPA that do not require large appropriations shall be accomplished simultaneously with other PPA.
Allocation of funds is based on the yearly operation of the University. The budget is provided by the Philippine Government as part of GAA. Other programs of the University are funded through grants based on proposals. To ensure financial viability, identification of RO per unit is conducted in a regular basis.
Workforce Plans
The key workforce plans to support USM’s short- and long-term plans are to (1) enhance human resource management development systems and processes by revising Merit and Selection Plan, integrating Equal Employment Opportunity Principle, revisiting the USM PRAISE, developing the web-based SPMS, and submitting to PRIME-HRM Accreditation; and (2) enhance personnel competency and performance by updating Human Resource Learning and
Development Plan, developing the HR Competency Framework, and conducting need-based training. These plans improve the workforce capability by developing a workforce that is flexible, competent, and more engaged and motivated in fulfilling the four-fold functions of the University; and workforce capacity by ensuring that sufficient number of workforces at the precise time of need are available.
Performance Measures
The key SI and their alignment with the OpPlan, SP and OO and their results are shown in Figure 2.1-5. USM deliberately ensures that measures for the SI and AP reinforce organizational alignment through the standardized format and process embedded in the USM SPMS and Operational Planning and Control Procedure (USM-PDO-001-Rev.2.2020.06.01). The evaluation of the performance indicators is measured based on the criteria stated in the Performance Evaluation Procedure (USM-PDO-002-Rev.2.2020.07.01) as shown in Table 2.1-2. Progress towards achieving these measures is monitored semi-annually or as needed through thea ccomplishments reflected in the OPCR (USM-PDO-F03-Rev.1.2020.06.01) and IPCR (USM-HRD-F51- Rev.1.2020.07.01).
Performance Projections
All SI have performance projections, which are geared towards attaining the University’s OO. These projections may be presented as frequency or percentage and are determined during the conduct of the OpPlan. Projections are based on past performance, anticipated future needs, changes and goals, and results. USM’s projections meet or exceed projections of other comparable universities and key benchmarks as they reflect USM’s dedication for continual improvement and growth.
In terms of gaps, delivery units are required to take part of the activities. Gaps are addressed during strategic planning and workshop. Competitor and comparative considerations are presented in Category 7.
B. Action Plan Modification
During the mid-year and the year-end review, the APs are adjusted as needed depending on the regulatory requirements set. For the infrastructure plans, LUDIP is visited yearly for review and amendments subject to the approval of the BOR. If circumstances indicate that change and rapid execution of new plans are needed, the SL, PMT and the concerned unit heads convene, determine the cause, assess the situation, and develop a modified AP. SL create a committee to spearhead the implementation of the new AP. SL and PMT monitor the results to evaluate its effectiveness.
Excellence and reliability stand as the cornerstones of institutional success. In this context, the University Quality Assurance Center (UQAC) of the University of Southern Mindanao (USM) plays a central and vital role. Tasked with the mission of ensuring that every facet of the University's operations not only meets but consistently exceeds the highest standards of quality, the UQAC is committed to the relentless pursuit of excellence, precision, and continuous improvement. It serves as the bedrock upon which the University’s reputation, progress, and long-term success are firmly established.
At USM, quality assurance is more than just a department—it is a guiding ethos, a deeply embedded culture, and an unwavering promise to its diverse stakeholders, including students, faculty, employees, partners, and the wider community. In today’s dynamic and demanding environment, higher education institutions are expected not only to deliver services and outputs, but also to uphold the delivery of trust, confidence, and assurance. The Quality Assurance Office stands as the guardian of this promise, ensuring that every process, service, and engagement bearing the USM name is a hallmark of quality and excellence.
USM Quality Assurance Plan (2023–2028): Plans and Implementation in Place to Support Quality Assurance
The University Quality Assurance Office is headed by Director Lawrence Anthony U. Dollente, who leads a dedicated team composed of five (5) permanent staff members and one (1) job order employee. In addition to the central office personnel, each academic college within the University has designated focal persons responsible for overseeing various quality assurance mandates. These include accreditation processes, ISO compliance, CHED-related concerns, Institutional Sustainability Assessment (ISA), and other areas essential to maintaining and enhancing institutional quality.
Each year, the UQAO meticulously develops and implements annual operational plans that are aligned with the University’s overarching Strategic Plan. This alignment ensures that quality assurance efforts are not isolated initiatives but are instead integrated within the broader institutional goals, as mandated in the University Operational Plan. The Office plays a crucial role in monitoring, evaluating, and supporting the quality dimensions of academic programs, administrative services, and institutional policies.
In keeping with the evolving demands of the digital age and the need for greater efficiency and accessibility, the Quality Assurance Office has also begun the development of an online system for archiving and document requests. This initiative aims to streamline internal processes, facilitate faster access to essential documents, and ultimately enhance the quality of services delivered to all stakeholders.
Through its strategic leadership, strong institutional collaboration, and forward-thinking innovations, the University Quality Assurance Office continues to uphold its commitment to excellence, shaping a culture where quality is not just an expectation but a lived experience at USM.
UQAO’s Table of Organization
List of Procedures Under Quality Management System of the University
Present Status of the USM
Quality Assurance Office
The University of Southern Mindanao (USM) continues to uphold its commitment to quality and excellence through the proactive efforts of the University Quality Assurance Office (UQAO). As the institution's central body for quality assurance, the UQAO has achieved significant milestones that reflect the University's dedication to continuous improvement, institutional excellence, and stakeholder satisfaction.
Foremost among its accomplishments, USM is ISO 9001:2015 certified for its Quality Management System. This certification was awarded on February 13, 2023, and remains valid until February 12, 2026. The ISO 9001:2015 certification is a globally recognized standard that affirms USM’s compliance with international quality management principles, including a strong customer focus, process-based approaches, and continuous improvement.
In recognition of its exemplary performance in quality management and institutional governance, USM was also awarded the Philippine Quality Award (PQA) Level II. The PQA is the highest national recognition for performance excellence and organizational effectiveness in the Philippines, and the Level II distinction signifies the University’s well-deployed quality systems and approaches that are yielding positive results across functions and programs.
Additionally, USM has made remarkable progress in program accreditation. Currently, 87.5% of the University’s academic programs are accredited by the Accrediting Agency of Chartered Colleges and Universities in the Philippines (AACCUP), covering all levels of higher education. The remaining programs that are eligible for accreditation have already been scheduled for upcoming evaluations, affirming the University's commitment to full compliance and academic excellence.
In terms of government compliance, all academic programs of USM—except for newly opened ones—have undergone evaluation and were granted Certificates of Program Compliance (COPCs) by the Commission on Higher Education (CHED). The issuance of COPCs indicates that USM’s programs meet the minimum requirements set by CHED, including standards in curriculum, faculty qualifications, facilities, and administrative support.
With these achievements, the University Quality Assurance Office continues to lead with strategic direction, ensuring that USM remains a model of quality and integrity in the higher education landscape. These efforts not only validate the University’s current standing but also position USM for sustained excellence in the years to come.
Status of USM Internationalization
The University of Southern Mindanao (USM) has significantly advanced its internationalization efforts through structured programs and global engagements. By institutionalizing its Office of International Affairs, USM has systematically strengthened its international presence, forging partnerships with higher education institutions (HEIs) and research organizations worldwide. The university supports faculty development through scholarships for graduate studies in international universities, while also facilitating international trainings, speakerships, and the Balik-Scientist Program to enhance research and academic collaboration. USM promotes student mobility by admitting international students and hosting internship programs, alongside active participation in cultural exchanges.
Its growing global reputation is reflected in its inclusion in QS Asia, Times Higher Ed Impact Rankings, WURI, EduRank, and Webometrics, as well as through awards recognizing its internationalization initiatives. As a leader in regional cooperation, USM serves as the lead institution in Region XII and a key member of the BIMP-EAGA HEI Consortium, reinforcing its role in fostering academic and research collaboration across Southeast Asia. These efforts collectively underscore USM’s commitment to global academic excellence, cross-border innovation, and sustainable international partnerships.
AACCUP Program Accreditation
Certificate of Program Compliance Status
Further, the UQAC, in coordination with the University Information Communication Technology Office, launched the University Quality Assurance Center website
(https://uqac.usm.edu.ph)
which serves as the landing page for AACCUP accreditation and ISO Audit.
Quality Assurance Targets and Accomplishment for 2025
Other Quality Assurance Plan
Vice-President for Resource Generation and Entrepreneurial Services
Preparation of IPCRs
Cascading of Targets by the Department Chairpersons and Agreement of Outputs
Cascading of Targets by the College Dean and Preparation of OPCR
Cascading of Targets by the Functional Units
Conduct Mid-year and Year-end Planning Reviews and Preparation of Operational Plan
Administrative Council (Top Management and Unit Heads, Directors, and Deans)
Vice-President of Administrative and Finance
Vice-President for Academic Affairs
College Dean
Department Chairpersons
Faculty Members
Vice-President for Research, Development and Extension
Figure 14. Planning Process and Action Plans in the Department or College
Memo’s from VPAA and GS Dean to Program Heads