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NWU Records Management Programme
It all starts here™
File Plan and Disposal Schedule
1 January 2016
TABLE OF CONTENTS
Page
A. General instructions ......................................................................... ii B. List of main series and subseries ................................................... vi C. Record classification and disposal instructions ................... 1 - 302
D. Authority list ......................................................................... 303 - 310 E. Records of historical value (not otherwise provided for) .......... 311
File reference 2.11.1/2016
i
GENERAL INSTRUCTIONS TO THE FILE PLAN
1. This file plan has been developed for use by the North-West University and is not suitable for use by another institution. It may not be copied or used by other institutions without written permission of the Manager: Records Management and Administration.
Ownership of classification system 2. Ownership of the file plan is assigned to the Manager: Records Management and
Administration. No amendments and/or additions to the file plan may be made without the approval of this official.
Master copy 3. The master copy of the file plan is the responsibility of the Manager: Records Management
and Administration and will be held and updated annually by the Manager: Records Management and Administration.
User guidelines 4. Each main series has user guidelines guiding the user as to the contents and method of
filing within each main series. Before filing a record in a series, please consult the user guidelines to ensure that the record is being correctly filed and filing principles correctly being adhered to.
Accurate filing of records 5. Managers and record owners must ensure that they are conversant with the series which
relates to their work and should ensure that all records are dealt with on the correct file and assigned the correct reference number. Incorrect filing should be rectified immediately to ensure that permanently valuable records are not destroyed
Policy files 6. Provision has been made in each main series for policy emanating from the activities in that
main series. These files are identified by the symbol "P" and is referenced by the main series to which the policy relates, followed by the symbol “P” and the activity reference on the subject matter of the policy, e.g. 2P/2.5 is an indication of the Language Policy (2 for the series on Management, P for Policy, and 2.5 as the subseries for Language management).
The awarding of reference numbers for policy files is the responsibility of the Manager: Records Management and Administration and policy administration is the responsibility of the department Records Management and Administration.
Policy development and revision is dealt with in subseries 2.1.3.
Procedures, manuals, guidelines and strategy files
7. Provision has been made for procedures, manuals, guidelines and strategy files. These files are identified by the symbol "Pr" and is referenced by the main series to which the procedure relates, followed by the symbol “Pr” and the activity reference on the subject matter of the procedure, e.g. 3Pr/3.1 is an indication of the Procedure for Recruitment and Selection (3 for the series on Human Resources, Pr for Procedure, and 3.1 as the subseries for Recruitment and Selection). The awarding of reference numbers for procedures, manuals, guidelines and strategy is the responsibility of the Manager: Records Management and Administration and the line managers responsible for the procedure, manuals, guidelines and strategy must request a reference number before publication of the procedure, manuals, guidelines and strategy.
ii
Case files
8. Case files which form part of the file plan are to be opened in accordance with the instructions appearing at the appropriate places in the file plan. These files are identified by the symbol “C” as the last component of the reference number e.g. 3C, 10.4C etc and are compulsory case files.
9. Any number of records can be grouped together as a case file for easy reference or information purposes depending on the requirements of the specific office. Such case files need not display the symbol “C”, but be indicated as case files by the word case file, e.g. Case file: Natural Sciences. Records within these case files should still display the necessary correct reference numbers.
Open files 10. In some series open files will be found. Open files may only be created by the record
owners where indicated. Record owners who may create open files will be instructed by the Manager: Records Management and Administration on how to use these files. These files are used for records with special technical content.
Authority list 11. An authority list with indication of abbreviations used for departments is available. In certain
series, it is necessary to use the authority abbreviation in a record reference to distinguish who the record owner is and the correct authority abbreviation should be used, e.g. in series 2.1.2.3 for strategic plans of schools or faculties, the reference should read 2.1.2.3/authority abbreviation (for instance the strategic plan of the School of Nursing on the Potchefstroom Campus will be 2.1.2.3/SN). Authority abbreviations are to be used as stated in the list, independent of the language or network ID’s.
12. Please note that if the record is created on the style sheet of the NWU, and the metadata correctly used and displayed, using the authority list abbreviation will not be necessary, as the style sheet detects the record owner from the network connection.
Search function 13. In order to search for a particular record in the Adobe electronic file plan, the find function
can also be used (to be found under the edit tab).
Correspondence 14. In some instances on request of the record owners, separate files were created for
correspondence on a subject. In all other instances, correspondence relates to a subject and is referenced and filed with the reference number of the file as provided in the file plan, e.g. a letter/e-mail about a quality manual is filed in the same file as the quality manual, file 2.3.2.1.
General files
15. No original official university record may be filed in a general file. The records must be filed according to the subject and activity it relates to.
iii
Opening of files and description on file covers 16. Files should be opened only when required, i.e. do not open a file if you do not generate or
receive records on the subject. Care should be taken that the numbering and descriptions of the files, as indicated in the file plan, are strictly adhered to. Every file should always contain the reference number, but wording/description is optional. Approved file backs with the correct corporate identity are available from the Records Management and Administration department.
Underlined descriptions 17. All underlined descriptions indicate subject headings only. Subdivisions are made under
these subject descriptions. No file may be opened for any underlined description and no underlined description may be used as a record reference.
Amendments and additions 18. All amendments and additions (the omission or insertion of an underlining is an amendment
as well) on the file plan must be submitted to the Manager: Records Management and Administration for approval. Numbers may not be changed or added without the approval of the Manager: Records Management and Administration.
19. Sometimes it is necessary to provide files for subjects which initially do not receive sufficient records to warrant separate files being opened for each subject. These files may, however, not be opened as "general" files. When the Manager: Records Management and Administration notices that a specific subject generates records of administrative or historical importance to justify creating a new subject file, such a file will be provided for in the file plan. These new files will also be identified during the annual update of the file plan.
20. Subseries that are no longer in use are shaded as follows:
1.3.19 Deans and CARSs
1.3.19.1 Terms of reference 1.3.19.2 Membership list 1.3.19.3 Agendas 1.3.19.4 Minutes 1.3.19.5 Attendance register 1.3.19.6 Correspondence 1.3.19.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Disposal of records 21. No records may be disposed of without the necessary disposal authority (the file plan of the
NWU has standing disposal authorities) – in this case please also refer to the Procedure for the disposal of records of the NWU (2Pr/2.11.2A). A disposal authority means a written authority specifying records to be transferred into the custody of the Archives or specifying records to be destroyed. The disposal symbols indicate the following:
A Records should be sent to the Archives for permanent preservation as soon as finalised and approved.
In the case of meeting administration documentation (minutes), the Archives will only receive the records in hard copy – in this case please also refer to the Procedure for caretaking of minutes of the NWU (2Pr/2.11.2B).
A1, A5, etc Records should be sent to the Archive for permanent preservation after the number of years indicated after the letter.
SERIES CLOSED
iv
In the case of meeting administration documentation, the Archives will only receive the records in hard copy .– in this case please also refer to the Procedure for caretaking of minutes of the NWU (2Pr/2.11.2B).
D3, D1, D5 etc Destroy/delete records after the numbers of years indicated after the letter taking into account the term begins after the record’s finalisation and approval.
All records have to be kept in safe and secure storage facilities until destruction occur – in this case please also refer to the Procedure and guidelines for the maintenance of storage areas for physical records (2Pr/2.11.3).
DAU5 Destroy 5 years after financial auditing is completed.
All records have to kept in safe and secure storage facilities until destruction occur – in this case please also refer to the Procedure and guidelines for the maintenance of storage areas for physical records (2Pr/2.11.3).
P in office of origin
Preserve permanently in office of origin. These are records with enduring administrative value, but no historical value.
All records have to be kept in safe and secure storage facilities – in this case please also refer to the Procedure and guidelines for the maintenance of storage areas for physical records (2Pr/2.11.3).
P on system Records are kept permanently on an electronic system.
Destruction register 22. Standing disposal authority has been granted on all the records in the file plan.
A destruction register is implemented in which the destruction of records is indicated and is the responsibility of the Manager: Records Management and Administration. For disposal of records please also refer to the Procedure for the disposal of records of the NWU (2Pr/2.11.2A). Record owners must adhere to and follow the disposal instructions in the file plan.
NWU style sheets 23. When creating an official record the NWU style sheet should be used, as it automatically
creates the necessary reference metadata if the network drive has been correctly classified. Records not created on the NWU style sheet and without proper metadata lose authenticity and integrity and will not be accepted into the Records Management Share environment.
Share 24. An Electronic Records Management programme (Insinq SHARE) with complete records
management capabilities has been implemented with the assistance and support of Information Technology. It is compulsory that all official NWU records be stored on this system (or a system that forms part of the NWU ECM strategy) and that all official records are created on the official NWU style sheets in order to safeguard authenticity, integrity and corporate identity application.
Implementation 25. This file plan was approved by Institutional Management on 28 October 2009 in support of
rule 4.3 of the NWU Records Management Policy approved by Council on 20 November 2009 and should be implemented by every office at the NWU from 1 January 2010.
v
LIST OF MAIN SERIES AND SUBSERIES
1. Governance
1.1 Legislation related administrative processes .............................................4 1.2 NWU Statute .............................................................................................7 1.3 Governance structures as per NWU Statute .............................................7 1.4 Statutory appointments ........................................................................... 21 1.5 Legislative prescribed committees .......................................................... 22 1.6 NWU Annual report ................................................................................. 25 1.7 Government departments........................................................................ 25 1.8 Statutory bodies ...................................................................................... 26 1.9 International associations ........................................................................ 26 1.10 National associations .............................................................................. 26 1.11 Professional bodies ................................................................................. 26 1.12 Companies/consortia .............................................................................. 27 1.13 Higher Education Landscape .................................................................. 27 1.14 Education institutions .............................................................................. 27 1.15 Religious organisations.......................................................................... .27 1.16 Information Governance.......................................................................... 27
2. Management
2.1 Strategic planning and reporting ............................................................... 31 2.2 Management structures ............................................................................ 33 2.3 Quality management ................................................................................ 52 2.4 Legal matters ............................................................................................ 63 2.5 Language management ............................................................................ 66 2.6 Management information .......................................................................... 69 2.7 Transformation management.................................................................... 71 2.8 Internationalisation ................................................................................... 73 2.9 Internal audit ............................................................................................. 74 2.10 Project management ................................................................................ 77 2.11 Records management .............................................................................. 78 2.12 Archives management .............................................................................. 79 2.13 Library management ................................................................................. 85 2.14 Mail management ..................................................................................... 85 2.15 Almanacs/timetables ................................................................................ 87 2.16 Ceremonies .............................................................................................. 87 2.17 Special management awards ................................................................... 88 2.18 HIV-AIDS management ............................................................................ 88 2.19 Operational management ......................................................................... 89 2.20 Museums and special collections management ....................................... 92 2.21 Image and digital curation ........................................................................ 97 2.22 Health Care management ........................................................................ 99
vi
3. Human Resources
3.1 Recruitment and selection ...................................................................... 105 3.2 Appointment and Transfers .................................................................... 107 3.3 Termination of service ............................................................................ 112 3.4 Personal development and training ........................................................ 114 3.5 Performance management ..................................................................... 114 3.6 Promotion of academic staff ................................................................... 115 3.7 Leave issues........................................................................................... 116 3.8 Remuneration administration .................................................................. 117 3.9 Skills development .................................................................................. 122 3.10 Mentorships and coaching ...................................................................... 126 3.11 Talent management ................................................................................ 127 3.12 Organisational development ................................................................... 128 3.13 Labour relations ...................................................................................... 130 3.14 Employment Equity ................................................................................. 135 3.15 Disability management ........................................................................... 136 3.16 Employee benefits management ............................................................ 137 3.17 Remuneration management ................................................................... 140 3.18 System administration ............................................................................ 142 3.19 Statistics ................................................................................................. 143 3.20 Employee health and wellness ............................................................... 144 3.21 Employee assessment ........................................................................... 147
4. Finance
4.1 Income management ............................................................................... 151 4.2 Expenditure management ....................................................................... 161 4.3 Asset management .................................................................................. 165 4.4 Insurance management ........................................................................... 166 4.5 Investment and cash flow management .................................................. 167 4.6 Reporting ................................................................................................. 169 4.7 KFS System administration ..................................................................... 170 4.8 KFS Financial System management ....................................................... 171 4.9 Budget management and assistance ...................................................... 172 4.10 Bursaries administration .......................................................................... 174 4.11 Varsité Vending System management and administration ...................... 180
vii
5. Facilities
5.1 Physical infrastructure management ...................................................... 184 5.2 Facilities management ............................................................................ 186 5.3 Maintenance management ..................................................................... 188 5.4 Fleet management .................................................................................. 192 5.5 Energy management .............................................................................. 202 5.6 Residence management ......................................................................... 203 5.7 Catering management ............................................................................ 205 5.8 Information technology management ..................................................... 206
6. Branding, Marketing and Communication
6.1 Brand management ................................................................................ 208 6.2 Communication ....................................................................................... 212 6.3 Fundraising ............................................................................................. 217 6.4 Stakeholder Relations ............................................................................ 218 6.5 Alumni management ............................................................................... 219 6.6 Campus student recruitment management ............................................. 220 6.7 Institutional Advancement ...................................................................... 221
7. Student Administration, Systems and Affairs
7.1 Academic Administration ........................................................................ 225 7.1.1 Student admissions ........................................................................... 225 7.1.2 Student registration ........................................................................... 228 7.1.3 Class attendance administration ....................................................... 230 7.1.4 Termination of studies ....................................................................... 232 7.1.5 Student requests ............................................................................... 233 7.1.6 Academic record and certificate of conduct....................................... 233 7.1.7 Class tests/assignment administration .............................................. 233 7.1.8 Participation marks statements ......................................................... 235 7.1.9 Examination administration ............................................................... 236 7.1.10 Results administration ....................................................................... 238 7.1.11 Administration of post-graduate studies
(theses, dissertations and mini-dissertations) ................................... 239 7.1.12 Graduation ........................................................................................ 241
7.2 Student administrative systems management ........................................ 243
7.3 Student affairs management................................................................... 245 7.4. Student management ............................................................................. 245
viii
7.3.1 Student training ................................................................................. 246 7.3.2 Student counselling and development .............................................. 247 7.3.3 Student wellness ............................................................................... 249 7.3.4 Sports management .......................................................................... 250 7.3.5 Culture management ......................................................................... 252 7.3.6 NWU graduate career management ................................................. 253 7.3.7 Student discipline administration ....................................................... 255
8. Teaching-Learning
8.1 Programme management ....................................................................... 261 8.2 Short course management ..................................................................... 269 8.3 Academic staff development................................................................... 272 8.4 Student academic development ............................................................. 276 8.5 Undergraduate student throughput ......................................................... 278
9. Research and Post-graduate Education
9.1 Implementation of the research strategy ................................................ 282 9.2 Research funding administration ............................................................ 290 9.3 Research capacity development ............................................................. 292 9.4 Post-graduate studies management ....................................................... 293
10. Implementation of Expertise
10.1 Subsidised developmental engagement ................................................. 297 10.2 Technology transfer and commercialisation ........................................... 299 10.3 Developmental activities with focus on recruitment of students .............. 299 10.4 Community engagement ........................................................................ 300 10.5 Provision of professional expertise ......................................................... 302 10.6 Specialised innovation activities ............................................................. 302
ix
1. GOVERNANCE
User guidelines
This main series is used for the management of records related to governance issues. Records originating from legislation (including the NWU Statute) and Council activities should be managed in this main series. All legal compliance records are managed in this main series.
This series is also used for managing correspondence with important stakeholders in the university and Higher Education environment, such as the Department of Higher Education and Training, national and provincial government departments, associations, statutory bodies, etc. All correspondence received and answered should be filed in this main series.
Subseries 1 deals with records originating from compliance to legislative requirements. Records are filed according to the Act they have relevance to. The first sub file in this series is always the relevant legislation and followed by the records created in specific adherence to the Act.
Subseries 2 is used solely for the Statute of the NWU.
Subseries 3 is used for the management of records related to governance structures, in particular records relating to structures established by the NWU Statute and flowing from council activities/committees to govern the organisation. All substructures of these structures are also listed here, and the records that emanate from them managed in this subseries. The structures are listed numerically, and not in a “reporting to” order. Numbering of records stays consistent throughout the subseries, and distinction between organisational entities (such as in the case of Faculty Boards) are made by adding a “/” to the number together with the authority list abbreviation for the entity, e.g. FAST. Please see the authority list at the back of the file plan. For the management of records in this series, please also refer to the Procedure for dealing with minutes and minutes books of the NWU (2Pr/2.11.2B). Records for the awarding of honorary doctorates are managed in adherence to the Policy and rules for the awarding of Honorary Doctorates (1P/1.3.1.8).
Subseries 4 is used for the management of records related to statutory appointments, i.e. the appointment of senior staff as governed in the NWU Statute.
Subseries 5 is used for the management of records related to meeting/consultative structures prescribed by legislation, such as Workplace forums, OHS committees etc. The structures are listed numerically, and not in a “reporting to” order. Numbering of records stays consistent throughout the subseries, and distinction between organisational entities (such as in the case of campus committees) are made by adding a “/” to the number together with the authority list abbreviation for the entity, e.g. 1.5.1.1/M. Please see the authority list at the back of the file plan. For the management of records in this series, please also refer to the Procedure for dealing with minutes and minutes books of the NWU (2Pr/2.11.2B).
Subseries 6 is used for the management of the Annual Report of the NWU. Two versions of the report are produced (one for the Department of Education in terms of the Higher Education Act and one for stakeholders).
1
Subseries 7 is used for the management of correspondence/instructions from government departments, national and provincial and local. Records received and sent are referenced by using the number/name of the government department/subject of correspondence and date, e.g. 1.7/DOHET/funding-18Jan2009.
Subseries 8 is used for the management of correspondence from and to/instructions from statutory bodies. Records received and sent are referenced by using the number/name of the statutory body and date, e.g. 1.8/HESA-18Jan2009. Statutory bodies are entities that originate from and are established by legislation.
Subseries 9 is used for the management of correspondence from and to/instructions from international associations. Records received and sent are referenced by using the number/name of the international association and date of correspondence, e.g. 1.9/AAU-18Jan2009.
Subseries 10 is used for the management of correspondence from and to/instructions from national associations. Records received and sent are referenced by using the number/name of the national association and date of correspondence, e.g. 1.10/NADEOSA-18Jan2009.
Subseries 11 is used for the management of correspondence from and to/instructions from professional bodies. Records received and sent are referenced by using the number/name of the professional body and date of correspondence, e.g. 1.11/SA Nursing Council-18Jan2009.
Subseries 12 is used for the management of correspondence from and to/instructions from companies/consortiums. Records received and sent are referenced by using the number/name of the company/consortium and date of correspondence, e.g. 1.12/TELKOM-18Jan2009.
Subseries 13 is used for the management of records related to the higher education landscape in general and intended for use solely by the Institutional Management of the NWU.
Subseries 14 is used for the management of correspondence from and to/instructions from education institutions. Records received and sent are referenced by using the number/name of the education institution and date of correspondence, e.g. 1.14/UJ-18Jan2011.
Subseries 15 is used for the management of correspondence from and to/instructions from religious organisations. Records received and sent are referenced by using the number/name of the organisation and date of correspondence, e.g. 1.15/UJ-18Jan2011.
Subseries 16 is used for the management of records regarding information governance.
2
Number Policies
1P
1P/1 Policy on Governance Oversight and Management Control 1P/1.1.10 Policy for the management of Intellectual Property at the NWU 1P/1.1.11 Smoking Policy 1P/1.1.13 Policy on gatherings, demonstrations and picketing at the North-West University 1P/1.3.1.8A Policy and Rules for the awarding of Honorary Doctorates 1P/1.3.1.8B Policy an Rules for the awarding of a Chancellor’s Medal 1P/1.3.1.8C Honorary Naming Policy 1P/1.3.3 Occupational Health and Safety Policy 1P/1.3.31 ISRC constitution 1P/1.3.33 Constitution of the Convocation of the North-West University 1P/1.4 Rules for the Appointment of Senior Managers 1P/1.4A Rules for the temporary secondary rotational appointment of a Vice-Principal
Disposal of original: A after approval as part of Council records
Office responsible for original: Records Management and Administration
Other offices’ disposal: D after update or revisions
Number Procedures, manuals, guidelines and strategies
1Pr 1Pr/1.1.4 Promotion of Access to Information – Information manual 1Pr/1.1.9 Procedure for the allocation of ISBN numbers
Disposal of original: D5 after every update.
Office responsible for original: Manager in specific division/process owner.
Other offices’ disposal: D after update or revisions
3
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.1 Legislation related administrative processes
1.1.1 Higher Education Act, 101 of 1997
1.1.1.1 Legislation 1.1.1.2 Correspondence 1.1.1.3 Declaration of interest form
P in office of origin. Any officer receiving records regarding the subject.
D1
1.1.2 Commissioners of Oaths Act, 16 of 1963
1.1.2.1 Legislation 1.1.2.2 Letters 1.1.2.3 Stamps 1.1.2.4 List 1.1.2.5 Training
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
1.1.3 Occupational Health and Safety Act, 85 of 1993
NWU Occupational Health and Management System
1.1.3.1 Element 1: Appointments, inspections, guidelines and training
1.1.3.2 Element 2: Risk assessment, mandatory’s and construction
1.1.3.3 Element 3: Medical surveillance, first-aid, incident investigation and hazardous chemical substances
1.1.3.4 Emergency planning
1.1.3.5 Construction
1.1.3.6 Legislation/Legal Register
P in office of origin.
The first file in each series is the legislation and procedures and the second file is the related records.
Occupational Health and Safety Officers
D3
4
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.1.4 Promotion of Access to Information Act, 2 of 2000
1.1.4.1 Legislation 1.1.4.2 Request forms 1.1.4.3 Responses 1.1.4.4 Reports
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D3
1.1.5 Promotion of Administrative Justice Act, 3 of 2000
1.1.5.1 Legislation 1.1.5.2 Requests 1.1.5.3 Reasons 1.1.5.4 Judicial reviews
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D3
1.1.6 Employment Equity Act, 55 of 1998
1.1.6.1 Legislation 1.1.6.2 Report 1.1.6.3 Plan
D3 according to EE-Act Employment Equity Manager in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
D1
1.1.7 Skills Development Act, 97 of 1998
1.1.7.1 Legislation 1.1.7.2 Workplace Skills Plan 1.1.7.3 Annual Training Report
D5 Skills Development Facilitator in the office of the Director: Organisational Learning and Development reporting to the Executive Director: Human Capital Development
D1
1.1.8 Broad Based Black Economic Empowerment Act, 53 of 2003
1.1.8.1 Legislation 1.1.8.2 Score cards 1.1.8.3 Required information
D5 according to the BBBEE-Act
Employment Equity Manager in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
D1
5
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.1.9 Legal Deposit Act, 54 of 1997
1.1.9.1 Legislation 1.1.9.2 List of ISBN numbers 1.1.9.3 Forms for allocation of numbers 1.1.9.4 Proof of deposit 1.1.9.5 Correspondence
Original is sent to the National Library
Officer responsible for legal deposit. D5
1.1.10 Intellectual Property Rights from Publicly Financed Research and Development Act, 51 of 2008
1.1.10.1 Legislation and Policy Compliance
1.1.10.2 Administration
1.1.10.3 Cases and Project Management
1.1.10.4 IPR non-patent cases
Referenced as case files and numbered by reference number and case number, e.g. 1.1.10.3C/123456
P in office of origin and on InfoEd (modules for Tech-transfer).
Intellectual Property and Contracting Manager in the Office of the Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
D3
1.1.11 Tobacco Products Control Act, 83 of 1993
1.1.11.1 Legislation
1.1.12 Protection of Personal Information Act, 4 of 2013
1.1.12.1 Legislation
1.1.12.2 Enquiries
1.1.12.3 Update request
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D3
6
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.1.13 Consumer Protection Act, 64 of 2008
1.1.13.1 Legislation
1.1.13.2 Complaints
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D3
1.2 NWU Statute
A Institutional Registrar D as needed
1.3 Governance structures as per NWU Statute
Structures are listed numerically and not structurally.
1.3.1 Council
1.3.1.1 Terms of reference 1.3.1.2 Membership list 1.3.1.3 Agendas 1.3.1.4 Minutes 1.3.1.5 Attendance register 1.3.1.6 Correspondence 1.3.1.7 Membership matters
o Rules for elections o Nomination forms o Ballot papers o Appointment letters o CV’s o Photo’s o Signatures
1.3.1.8 Awards
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Council secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
7
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.2 Executive Committee
1.3.2.1 Terms of reference 1.3.2.2 Membership list 1.3.2.3 Agendas 1.3.2.4 Minutes 1.3.2.5 Attendance register 1.3.2.6 Correspondence 1.3.2.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Exco of Council secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.3 Remuneration Committee
1.3.3.1 Terms of reference 1.3.3.2 Membership list 1.3.3.3 Agendas 1.3.3.4 Minutes 1.3.3.5 Attendance register 1.3.3.6 Correspondence
1.3.3.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Remuneration committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.4 Human Capital and Employment Equity Committee (HCEE)
1.3.4.1 Terms of reference 1.3.4.2 Membership list 1.3.4.3 Agendas 1.3.4.4 Minutes 1.3.4.5 Attendance register 1.3.4.6 Correspondence 1.3.4.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
HCDEE secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
8
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.5 Transformation Oversight Committee (TOC)
1.3.5.1 Terms of reference 1.3.5.2 Membership list 1.3.5.3 Agendas 1.3.5.4 Minutes 1.3.5.5 Attendance register 1.3.5.6 Correspondence
1.3.5.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
TOC secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.6 Honorary Awards Committee
1.3.6.1 Terms of reference 1.3.6.2 Membership list 1.3.6.3 Agendas 1.3.6.4 Minutes 1.3.6.5 Attendance register 1.3.6.6 Correspondence 1.3.6.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Honorary Awards Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.7 Finance Committee
1.3.7.1 Terms of reference 1.3.7.2 Membership list 1.3.7.3 Agendas 1.3.7.4 Minutes 1.3.7.5 Attendance register 1.3.7.6 Correspondence 1.3.7.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Finance Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
9
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.8 Tender Committee
1.3.8.1 Terms of reference 1.3.8.2 Membership list 1.3.8.3 Agendas 1.3.8.4 Minutes 1.3.8.5 Attendance register 1.3.8.6 Correspondence 1.3.8.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Tender Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.9 Investments Committee
1.3.9.1 Terms of reference 1.3.9.2 Membership list 1.3.9.3 Agendas 1.3.9.4 Minutes 1.3.9.5 Attendance register 1.3.9.6 Correspondence 1.3.9.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Investments Committee secretariat in the office Executive Director: Finance and Facilities
D1
1.3.10 Assets Committee
1.3.10.1 Terms of reference 1.3.10.2 Membership list 1.3.10.3 Agendas 1.3.10.4 Minutes 1.3.10.5 Attendance register 1.3.10.6 Correspondence 1.3.10.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Assets Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
10
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.11 Audit, Risk and Compliance Committee (ARCC)
1.3.11.1 Terms of reference 1.3.11.2 Membership list 1.3.11.3 Agendas 1.3.11.4 Minutes 1.3.11.5 Attendance register 1.3.11.6 Correspondence 1.3.11.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Audit, Compliance and Risk Management Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.12 Committees on Student Support Services
1.3.12.1 Terms of reference 1.3.12.2 Membership list 1.3.12.3 Agendas 1.3.12.4 Minutes 1.3.12.5 Attendance register 1.3.12.6 Correspondence 1.3.12.7 Membership matters
Campus and IO committees are referenced by number and authority abbreviation e.g. by 1.3.12/M or 1.3.12/P or 1.3.12/V or 1.3.12/I
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
Campus Secretariat reporting to the Campus Registrar on each campus
D1
1.3.13 Institutional Senate
1.3.13.1 Terms of reference 1.3.13.2 Membership list 1.3.13.3 Agendas 1.3.13.4 Minutes 1.3.13.5 Attendance register 1.3.13.6 Correspondence 1.3.13.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Senate secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
11
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.14 Senate Executive Committee (SENEX)
1.3.14.1 Terms of reference 1.3.14.2 Membership list 1.3.14.3 Agendas 1.3.14.4 Minutes 1.3.14.5 Attendance register 1.3.14.6 Correspondence 1.3.14.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Senate Exco secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.15 Institutional Committee for Research and Innovation (ICRI)
1.3.15.1 Terms of reference 1.3.15.2 Membership list 1.3.15.3 Agendas 1.3.15.4 Minutes 1.3.15.5 Attendance register 1.3.15.6 Correspondence 1.3.15.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
ICRI secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.16 Institutional Committee for Academic Standards (ICAS)
1.3.16.1 Terms of reference 1.3.16.2 Membership list 1.3.16.3 Agendas 1.3.16.4 Minutes 1.3.16.5 Attendance register 1.3.16.6 Correspondence 1.3.16.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
ICAS secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
Records are also kept on shared drive at ICAS at PCM-NOV-USRP-SERVER\USRP
D1
12
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.17 ICAS Exco
1.3.17.1 Terms of reference 1.3.17.2 Membership list 1.3.17.3 Agendas 1.3.17.4 Minutes 1.3.17.5 Attendance register 1.3.17.6 Correspondence 1.3.17.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
ICAS Exco secretariat in the office of the Manager: Institutional Governance and Secretariat Services reporting to the Institutional Registrar
D1
1.3.18 Core Steering Team
1.3.18.1 Terms of reference 1.3.18.2 Membership list 1.3.18.3 Agendas 1.3.18.4 Minutes 1.3.18.5 Attendance register 1.3.18.6 Correspondence 1.3.18.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
CST secretariat in the in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.19 Deans and CARSs
1.3.19.1 Terms of reference 1.3.19.2 Membership list 1.3.19.3 Agendas 1.3.19.4 Minutes 1.3.19.5 Attendance register 1.3.19.6 Correspondence 1.3.19.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
D&CARSs secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
SERIES CLOSED
SERIES CLOSED
13
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.20 ICAS advisory board
1.3.20.1 Terms of reference 1.3.20.2 Membership list 1.3.20.3 Agendas 1.3.20.4 Minutes 1.3.20.5 Attendance register 1.3.20.6 Correspondence 1.3.20.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
ICAS Advisory Board secretariat in the office of the Director: Academic Development and Support reporting to the Executive Director: Teaching-Learning and Vice-Principal.
Records are also kept on shared drive at ICAS at PCM-NOV-USRP-SERVER\USRP
D1
1.3.21 Institutional Admission Requirements Committee
1.3.21.1 Terms of reference 1.3.21.2 Membership list 1.3.21.3 Agendas 1.3.21.4 Minutes 1.3.21.5 Attendance register 1.3.21.6 Correspondence 1.3.21.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Institutional Admissions Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.22 Higher Degrees Committee
1.3.22.1 Terms of reference 1.3.22.2 Membership list 1.3.22.3 Agendas 1.3.22.4 Minutes 1.3.22.5 Attendance register 1.3.22.6 Correspondence 1.3.22.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Higher Degrees Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
14
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.23 Research Support Commission
1.3.23.1 Terms of reference 1.3.23.2 Membership list 1.3.23.3 Agendas 1.3.23.4 Minutes 1.3.23.5 Attendance register 1.3.23.6 Correspondence 1.3.23.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Research Support Commission secretariat in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
1.3.24 Classification of Thesis and Dissertations
1.3.24.1 Terms of reference 1.3.24.2 Membership list 1.3.24.3 Agendas 1.3.24.4 Minutes 1.3.24.5 Attendance register 1.3.24.6 Correspondence 1.3.24.7 Membership matters 1.3.24.8 Application form 1.3.24.9 Classification register
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Classification of Thesis and Dissertations secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.25 Institutional Committee for Teaching and Learning 1.3.25.1 Terms of reference 1.3.25.2 Membership list 1.3.25.3 Agendas 1.3.25.4 Minutes 1.3.25.5 Attendance register 1.3.25.6 Correspondence 1.3.25.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Institutional Committee for Teaching and Learning secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
15
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.26 Institutional Research Ethics Regulatory Committee
1.3.26.1 Terms of reference 1.3.26.2 Membership list 1.3.26.3 Agendas 1.3.26.4 Minutes 1.3.26.5 Attendance register 1.3.26.6 Correspondence 1.3.26.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Research Ethics secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.27 Campus Senate Committees
1.3.27.1 Terms of reference 1.3.27.2 Membership list 1.3.27.3 Agendas 1.3.27.4 Minutes 1.3.27.5 Attendance register 1.3.27.6 Correspondence 1.3.27.7 Membership matters
Campus committees are referenced by number and authority abbreviation 1.3.27/M or 1.3.27/P or 1.3.27/V
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Committee Secretariat in the Office of the Campus Registrar on the Mafikeng Campus.
Campus Senate Committee secretariats in the Offices of the Campus Registrars on the Potchefstroom and Vaal Triangle Campuses.
D1
16
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.28 Faculty Boards
1.3.28.1 Terms of reference 1.3.28.2 Membership list 1.3.28.3 Agendas 1.3.28.4 Minutes 1.3.28.5 Attendance register 1.3.28.6 Correspondence 1.3.28.7 Membership matters
Campus and faculty committees are referenced by number and authority abbreviation e.g. 1.3.28/FAST or 1.3.28/FNS or 1.3.28/FH
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Faculty officers in the office of the Faculty Dean on the Mafikeng Campus.
Faculty Board secretariats in the Office of the Faculty Dean on the Potchefstroom and Vaal Triangle Campuses.
D1
1.3.29 Institutional Forum (IF)
1.3.29.1 Terms of reference 1.3.29.2 Membership list 1.3.29.3 Agendas 1.3.29.4 Minutes 1.3.29.5 Attendance register 1.3.29.6 Correspondence 1.3.29.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
IF secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.30 Human Rights Committee
1.3.30.1 Terms of reference 1.3.30.2 Membership list 1.3.30.3 Agendas 1.3.30.4 Minutes 1.3.30.5 Attendance register 1.3.30.6 Correspondence 1.3.30.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Human Rights Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
17
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.31 Institutional Student Representative Council (ISRC)
1.3.31.1 Terms of reference 1.3.31.2 Membership list 1.3.31.3 Agendas 1.3.31.4 Minutes 1.3.31.5 Attendance register 1.3.31.6 Correspondence 1.3.31.7 Elections 1.3.31.8 Awards
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
ISRC secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.32 Campus Student Representative Council (CSRC)
1.3.32.1 Terms of reference 1.3.32.2 Membership list 1.3.32.3 Agendas 1.3.32.4 Minutes 1.3.32.5 Attendance register 1.3.32.6 Correspondence 1.3.32.7 Membership matters 1.3.32.8 Awards
Campus SRC committees are referenced by number and authority abbreviation e.g. 1.3.32/M or 1.3.32/P or 1.3.32/V
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Campus SRC secretariats reporting to the Dean of Students/Manager Student Affairs on the Campuses
D1
1.3.33 Convocation
1.3.33.1 Database of members administration
1.3.33.1.1 Convocation roll A6 months – 30 June and 31 December
Convocation Officer reporting to the Institutional Registrar
No copies to be kept by other offices.
18
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.33.1.2 Membership matters
1.3.33.1.2.1 Application form
P in office of origin. Convocation Officer reporting to the Institutional Registrar
No copies to be kept by other offices.
1.3.22.1.3 Invitation to new staff D1 Convocation Officer reporting to the Institutional Registrar
No copies to be kept by other offices.
1.3.33.1.4 Letters to members D3 Convocation Officer reporting to the Institutional Registrar
No copies to be kept by other offices.
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.33.1.5 System administration and reports P on system. KidZ Africa No copies to be kept by other offices.
1.3.33.2 Meetings
1.3.33.1 Terms of reference 1.3.33.2 Membership list 1.3.33.3 Agendas 1.3.33.4 Minutes 1.3.33.5 Attendance register 1.3.33.6 Correspondence 1.3.33.7 Membership matters
o Rules for elections o Nomination forms o Ballot papers o Appointment letters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Convocation Officer reporting to the Institutional Registrar
D1
SERIES CLOSED
SERIES CLOSED
SERIES CLOSED
19
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.3.34 Board of Donors
1.3.34.1 Terms of reference 1.3.34.2 Membership list 1.3.34.3 Agendas 1.3.34.4 Minutes 1.3.34.5 Attendance register 1.3.34.6 Correspondence 1.3.34.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.35 Student Oversight Committee
1.3.35.1 Terms of reference 1.3.35.2 Membership list 1.3.35.3 Agendas 1.3.35.4 Minutes 1.3.35.5 Attendance register 1.3.35.6 Correspondence
1.3.35.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur
Secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.3.36 Senate Committee for Phylosophical Grounding
1.3.36.1 Terms of reference 1.3.36.2 Membership list 1.3.36.3 Agendas 1.3.36.4 Minutes 1.3.36.5 Attendance register 1.3.36.6 Correspondence
1.3.36.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur
Secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
20
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.4 Statutory appointments 1.4.1 Chancellor 1.4.2 Vice-Chancellor 1.4.3 Campus Rectors 1.4.4 Members of Institutional Management 1.4.5 Campus Vice-Rectors 1.4.6 Campus Registrars and Campus
Directors 1.4.7 Deans 1.4.8 Academic directors 1.4.9 Vice-Principal 1.4.10 Acting Each of the appointment files should have the following records:
Subfile 1: Advertisement Subfile 2: Procedures Subfile 3: Appointment letters Subfile 4: Appointment committee records
For the records on the ceremony that may lead from the appointment, please use 2.16.
A1 month after appointment Director: Corporate and Information Governance Services reporting to the Institutional Registrar
No copies to be kept by other offices.
21
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.5 Legislative prescribed committees
1.5.1 Workplace Forums
1.5.1.1 Terms of reference 1.5.1.2 Membership list 1.5.1.3 Agendas 1.5.1.4 Minutes 1.5.1.5 Attendance register 1.5.1.6 Correspondence 1.5.1.7 Membership matters
Campus and IO committees are referenced by number and authority abbreviation e.g. by 1.5.1/M or 1.5.1/P or 1.5.1/V or 1.5.1/I
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Committee Secretariat in the office of the Campus Registrar on the Mafikeng Campus.
Workplace Forum secretariats on the Potchefstroom and Vaal Triangle Campuses and the Institutional Office.
D1
1.5.2 Institutional Occupational Health and Safety Committee
1.5.2.1 Terms of reference 1.5.2.2 Membership list 1.5.2.3 Agendas 1.5.2.4 Minutes 1.5.2.5 Attendance register 1.5.2.6 Correspondence 1.5.2.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Committee Secretariat in the office of the Campus Registrar on the Mafikeng Campus.
D1
22
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.5.3 NWU Pension Fund
1.5.3.1 Terms of reference 1.5.3.2 Membership list 1.5.3.3 Agendas 1.5.3.4 Minutes 1.5.3.5 Attendance register 1.5.3.6 Correspondence 1.5.3.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
NWU Pension Fund Secretariat D1
1.5.4 Institutional Bargaining Forum
1.5.4.1 Terms of reference 1.5.4.2 Membership list 1.5.4.3 Agendas 1.5.4.4 Minutes 1.5.4.5 Attendance register 1.5.4.6 Correspondence 1.5.4.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
IBF secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
1.5.5 Employment Equity and Skills Development Forums
1.5.5.1 Terms of reference 1.5.5.2 Membership list 1.5.5.3 Agendas 1.5.5.4 Minutes 1.5.5.5 Attendance register 1.5.5.6 Correspondence 1.5.5.7 Membership matters
Campus and IO committees are referenced by number and authority abbreviation e.g. by 1.5.5/M or 1.5.5/P or 1.5.5/V or 1.5.5/I
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
EESDF Forum secretariats D1
23
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.5.6 Occupational Health and Safety Representatives Forums
1.5.6.1 Terms of reference 1.5.6.2 Membership list 1.5.6.3 Agendas 1.5.6.4 Minutes 1.5.6.5 Attendance register 1.5.6.6 Correspondence 1.5.6.7 Membership matters
Campus and IO forums are referenced by number and authority abbreviation e.g. 1.5.6/M or 1.5.6/P or 1.5.6/V or 1.5.6/I
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Committee Secretariat in the office of the Campus Registrar on the Mafikeng Campus.
OHS secretariats on the Potchefstroom and Vaal Triangle Campuses and the Institutional Office.
D1
1.5.7 Vice-Chancellor Occupational Health and Safety Forum
1.5.7.1 Terms of reference 1.5.7.2 Membership list 1.5.7.3 Agendas 1.5.7.4 Minutes 1.5.7.5 Attendance register 1.5.7.6 Correspondence 1.5.7.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Committee Secretariat in the office of the Campus Registrar on the Mafikeng Campus.
OHS secretariats on the Potchefstroom and Vaal Triangle Campuses and the Institutional Office.
D1
24
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.5.8 Exco Occupational Health and Safety
1.5.8.1 Terms of reference 1.5.8.2 Membership list 1.5.8.3 Agendas 1.5.8.4 Minutes 1.5.8.5 Attendance register 1.5.8.6 Correspondence 1.5.8.7 Membership matters
Campus and IO meetings are referenced by number and authority abbreviation e.g. 1.5.8/M or 1.5.8/P or 1.5.8/V or 1.5.8/I
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Committee Secretariat in the office of the Campus Registrar on the Mafikeng Campus.
OHS secretariats on the Potchefstroom and Vaal Triangle Campuses and the Institutional Office.
D1
1.6 NWU Annual Report
1.6.1 Stakeholder version 1.6.2 Department of Higher Education and
Training version
A after approval by Council Record 1: Director: Communication in the Office of the Executive Director: Corporate Affairs and Relations
Record 2: Manager: Records Management and Administration reporting to the Institutional Registrar.
D1
1.7 Government departments
File reference followed by the abbreviation of the Government department/subject of the correspondence-date e.g.
1.7/DoHET/funding-18Jun2009 or 1.7/DoHET/strategic projects-27Mar2009
D30 Staff members corresponding with the government department and under whose signature the correspondence is sent.
D1
25
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.8 Statutory bodies
File reference followed by the name of the body e.g.
1.8/HESA or 1.8/CHE
D5 Staff members corresponding with the statutory body and under whose signature the correspondence is sent.
D1
1.9 International Associations
File reference followed by the name of the association e.g.
1.9/ACU or 1.9/AAU
D5 Staff members corresponding with the international association and under whose signature the correspondence is sent.
D1
1.10 National Associations
File reference followed by the name of the association e.g.
1.10/NADEOSA or 1.10/NACCW
D5 Staff members corresponding with the national association and under whose signature the correspondence is sent.
D1
1.11 Professional bodies
File reference followed by the name of the body e.g.
1.11/Nursing Council
D5 Staff members corresponding with the professional body and under whose signature the correspondence is sent.
D1
26
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
1.12 Companies/consortia
File reference followed by the name of the body e.g.
1.12/TELKOM
D5 Staff members corresponding with the company and under whose signature the correspondence is sent.
D1
1.13 Higher Education Landscape
This series is to be used by the Institutional Management and for future reference.
D5 Institutional Management members. D1
1.14 Education institutions
File reference followed by the name of the education institution e.g.
1.14/UJ
D5 Staff members corresponding with the education institution and under whose signature the correspondence is sent.
D1
1.15 Religious organisations
File reference followed by the name of the organisation.
1.15/Name
D5 Staff members corresponding with the organmisation and under whose signature the correspondence is sent.
D1
1.16 Information Governance
1.16.1 Framework D5 Institutional Registrar
D1
27
2. MANAGEMENT
User guidelines
Records relating to the management of the NWU and specific areas of importance are managed in this series. A wide spectrum of records is managed in this series, and as such almost every office at the NWU will make use of this main series.
Subseries 1 is used for the management of all records relating to strategic planning processes. The records of the NWU as a whole, including faculties’, schools and departments’ records relating to mission, values and vision statements, strategic plans and reports on planning are managed in this main series. The only exception is the strategic plans of research entities which are filed under number 9.1.1.5 in main series 9: Research and Post-graduate education. Numbering of records stays consistent throughout the subseries, and distinction between organisational entities is made by adding a “/” to the number together with the authority list abbreviation for the entity, e.g. 2.1.2.4/I-ITC. Please see the authority list at the back of the file plan.
Subseries 2 is used for the management of records relating to management structures, and includes the records of the various management committees across the NWU. The structures are listed numerically, and not in a “reporting to” order. Numbering of records stays consistent throughout the subseries, and distinction between organisational entities (such as in the case of Faculty management committees) are made by adding a “/” to the number together with the authority list abbreviation for the entity, e.g 2.2.2.6/FAST. Please see the authority list at the back of the file plan. For the management of records in this series, please also refer to the Procedure for dealing with minutes and minutes books of the NWU (2Pr/2.11.2B). 2.2.2.19 is used for committees specific to a certain faculty, such as a faculty having a Human resources committee, Teaching-Learning or a Research Committee. Records are referenced by the number of the subseries followed by the faculty abbreviation and abbreviation of committee. Numbers 2.2.2.21, 2.2.2.22 and 2.2.2.23 are used for committees specific to a certain campus. Should a committee in this series not be listed, please contact the Records Manager for a reference number. For the management of meeting structure records in this series, please also refer to the Procedure for dealing with minutes and minutes books of the NWU (2Pr/2.11.2B). Records in this series further also include records relating to management models, organisational structures, etc. For the filing of records related to organisational entity management, please see subseries 3.12.2.
Subseries 3 is used for the management of records relating to quality matters. The main record owners are the staff of the Institutional Quality Office but quality co-ordinators in the faculties and support departments should use this series for the management of some of the quality records. These records include Internal and External Programme Evaluations, quality manuals, etc. For referencing of records in subseries 2.3.1.1 and 2.3.2 please see the authority list. Records in this series are managed in adherence to the Quality Policy (2P/2.3).
Subseries 4 is used for the management of legal matters of the NWU. Contracts, agreements, etc should be filed in this series, and Legal Services informed of the existence of such contracts/agreements. Records relating to the legal aspects of Intellectual Property management are managed in adherence to:
1 Policy: Management of research and innovation contracts (2P/2.4.2.2)
2 Conflict of interest policy (2P/2.4.2.3)
Subseries 5 is used for the management of records relating to language matters. The main record owner is the Language Directorate. Records in this series are managed in adherence to the
Language Policy (2P/2.5).
28
Subseries 6 is used for the management of records relating to management information. All management information (as supplied by the Data Warehouse), HEMIS data etc are managed in this series. For referencing of records in subseries 2.6.1.5 please see the authority list.
Subseries 7 is used for the management of records relating to transformation. Records relating to diversity, equity and human rights are managed in this series. Human Rights records are managed in adherence to the Human Rights Policy (2P/2.7.3).
Subseries 8 is used for the management of records relating to internationalisation. Records regarding administration of international students and international activities of the NWU are filed in this series. Records relating to the administration of foreign staff are, however, dealt with as an HR matter in 3.2.1.2
Subseries 9 is used for the management of records relating to internal audits. The records in this series are owned by Internal Audit and strictly confidential.
Subseries 10 is used for the management of records related to projects. This series is NOT used for management of building projects (please use subseries 5.1.6), residence and catering upgrade projects (please use subseries 5.6.3), or community engagement projects (please use subseries 10.4.4).
Subseries 11 is used for the management of records relating to records management. Records in this series are managed in adherence with the Records Management Policy (2P/2.11).
Subseries 12 is used for the management of records relating to archives management. Records in this series are managed in adherence with the Archives, Museums and Collections Policy (2P/2.12).
Subseries 13 is used for the management of records relating to library management. This series is purely for the sake of completeness as the records are managed according to library practices and principles. Records in this series are managed in adherence with the Institutional Library Policy (2P/2.13).
Subseries 14 is used for the management of records relating to mail management.
Subseries 15 is used for the management of records relating to the Institutional calendar and any other meeting timetables. Examination and class timetables are managed in series 7.
Subseries 16 is used for the management of records relating to official ceremonies of the NWU including inaugural lectures, but excluding graduation ceremonies. A case file is opened for the specific ceremony and referenced by number/organisational entity-ceremony, e.g. 2.16C/V-opening or 2.16C/P-inaugural-Prof Duminy, 2.16C/I-inauguration-chancellor. Graduations are managed in subseries 7.1.12.
Subseries 17 is used for the management of records relating to special management awards of the NWU such as Rector’s honorary awards. Any award not awarded by a committee is filed in this series. All other awards are filed with the committee records of the committee doing the awarding.
Subseries 18 is used for the management of records relating to HIV/AIDS management. Records in this series are managed in adherence with the HIV/AIDS Policy (2P/2.18).
Subseries 19 is used for the management of records relating to operational management.
Subseries 20 is used for the management of records relating to archives management. Records in this series are managed in adherence with the Archives, Museums and Collections Policy (2P/2.12).
29
Subseries 21 is used for the management of records relating to museums and collections management. Records in this series are managed in adherence with the Archives, Museums and Collections Policy (2P/2.12).
Subseries 22 is used for the management of records relating to health care. Records in this series are managed in adherence with the Primary Health Care Policy (2P/2.22).
Number Policies
2P
2P/2.1.3 Policy on the generation and approval of policy 2P/2.3 Quality policy 2P/2.4.2.2 Policy for the Management of Research and Innovation Contracts and External Investment/Stakeholding 2P/2.4.2.3 Conflict of interest policy 2P/2.4.3.2 Policy on Plagiarism and other forms of Academic Dishonesty and Misconduct 2P/2.5 Language policy 2P/2.7.3 Human Rights policy 2P/2.8 Internationalisaton policy 2P/2.8.4 Policy on Joint and Double Degrees at Masters and Doctoral level with foreign Universities 2P/2.9.6 Policy on the report of maladministration and irregularities and the protection of disclosure 2P/2.11 Records management policy 2P/2.12 Archives, museums and collections policy 2P/2.13 Institutional library policy 2P/2.18 HIV/AIDS policy 2P/2.22 Primary Health Care policy Disposal of original: A after approval as part of Council records Office responsible for original: Records Management and Administration Other offices’ disposal: D after update or revision.
30
Number Procedures, manuals, guidelines and strategies
2Pr 2Pr/2.7.1 Diversity statement 2Pr/2.11.2A Procedure for disposal of records of the NWU 2Pr/2.11.2B Procedure for dealing with minutes and minute books of the NWU 2Pr/2.11.3 Procedure and guidelines for the maintenance of storage areas for physical records 2Pr/2.14.4 Procedure for courier packages 2Pr/2.18 HIV and AIDS workplace programme Disposal of original: D5 after every update. Office responsible for original: Manager in specific division/process owner. Other offices’ disposal: D after update or revision.
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.1 Strategic Planning and Reporting
2.1.1 Vision, Mission, Values A after approval Director or manager responsible for formulation.
D1
2.1.2 Plans
2.1.2.1 Institutional Plan
The IP is referenced by number and year, e.g. IP/2008
A after approval Director: Office of the Vice-Chancellor
D1
2.1.2.2 Campus
Campus plans are referenced by number and authority abbreviation, e.g. 2.1.2.2/P, 2.1.2.2/M, 2.1.2.2/V
A after approval Campus Rectors D1
31
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.1.2.3 Faculty/schools/Unit
Faculty, school or unit plans are referenced by number and authority abbreviation, e.g. 2.1.2.3/FNS
A after approval Deans, School Directors and Manager of Unit
D1
2.1.2.4 Support departments
Support department plans are referenced by number and authority abbreviation, e.g. 2.1.2.4/I-RMA
A after approval Directors and Managers D1
2.1.2.5 Enrolment planning A after approval Director: Office of the Vict-Chancellor
D1
2.1.3 Policy development and review
Files are referenced by number and proposed policy number, e.g. 2.1.3/3P-3.9
2.1.3.1 Development
2.1.3.2 Review
A after policy approval. Department where policy originates for record 1 and Records Management and Administration for record 2.
D1
2.1.4 Benchmarking
Records are referenced by number and authority abbreviation, e.g. 2.1.4/I-RMA
D3 Officer responsible for doing the benchmarking exercise.
D1
32
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.1.5 Reporting
2.1.5.1 IM reports to Council 2.1.5.2 Monthly progress reports 2.1.5.3 Quarterly progress reports 2.1.5.4 Annual reporting 2.1.5.5 Other managerial reporting
Reports are referenced by number and authority abbreviation, e.g. 2.1.5.3/I-RMA
Record 1: A as part of Council committee’s records (1.3.1.4)
Records 2-4: A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Record 1: Council Secretariat in the office of the Manager: Institutional Governance and Secretariat Services reporting to the Institutional Registrar
Records 2-5: Directors/managers of the NWU responsible for reporting to next level management.
D1
2.2 Management structures
2.2.1 Model and organisational structures
2.2.1.1 Support functions
2.2.1.2 Core functions: Teaching-learning, research and implementation of expertise
Structures are referenced by number and authority abbreviation, e.g. 2.2.1/I-RMA
A. Directors/Managers of the NWU D1
2.2.2 Committee structures
2.2.2.1 Institutional Management Committee
2.2.2.1.1 Terms of reference 2.2.2.1.2 Membership list 2.2.2.1.3 Agendas 2.2.2.1.4 Minutes 2.2.2.1.5 Attendance register 2.2.2.1.6 Correspondence 2.2.2.1.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Institutional Management secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
33
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.2 Institutional Management and Campus Managements Meeting
2.2.2.2.1 Terms of reference 2.2.2.2.2 Membership list 2.2.2.2.3 Agendas 2.2.2.2.4 Minutes 2.2.2.2.5 Attendance register 2.2.2.2.6 Correspondence 2.2.2.2.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Institutional Management and Campus Managements Meeting secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
2.2.2.3 Vice-Chancellor and Institutional Office Directors Meeting
2.2.2.3.1 Terms of reference 2.2.2.3.2 Membership list 2.2.2.3.3 Agendas 2.2.2.3.4 Minutes 2.2.2.3.5 Attendance register 2.2.2.3.6 Correspondence 2.2.2.3.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Vice-Chancellor and Institutional office directors Meeting secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
2.2.2.4 Senior management committees
2.2.2.4.1 Terms of reference 2.2.2.4.2 Membership list 2.2.2.4.3 Agendas 2.2.2.4.4 Minutes 2.2.2.4.5 Attendance register 2.2.2.4.6 Correspondence 2.2.2.4.7 Membership matters
Campus and IO committees are referenced by number and authority abbreviation, e.g. 2.2.2.4/M or 2.2.2.4/P or 2.2.2.4/V or 2.2.2.4/I
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the various senior management committees in the Office of the Institutional and Campus Registrars for the Potchefstroom and Vaal Triangle Campuses and the Campus Committee Secretariat in the Office of the Campus Registrar on the Mafikeng Campus.
D1
34
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.5 Extended Registrars’ Forum
2.2.2.5.1 Terms of reference 2.2.2.5.2 Membership list 2.2.2.5.3 Agendas 2.2.2.5.4 Minutes 2.2.2.5.5 Attendance register 2.2.2.5.6 Correspondence 2.2.2.5.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Extended Registrars’ Forum secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
2.2.2.6 MC Campus Executive Committee/PC Campus Management Committees/VMC
2.2.2.6.1 Terms of reference 2.2.2.6.2 Membership list 2.2.2.6.3 Agendas 2.2.2.6.4 Minutes 2.2.2.6.5 Attendance register 2.2.2.6.6 Correspondence 2.2.2.6.7 Membership matters 2.2.2.3.8 Action list
Campus and IO committees are referenced by number and authority abbreviation, e.g. 2.2.2.6/M or 2.2.2.6/P or 2.2.2.6/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the various management committees in the Office of the Institutional and Campus Registrars for the Potchefstroom and Vaal Triangle Campuses and the Campus.
Committee Secretariat in the Office of the Campus Registrar on the Mafikeng Campus.
D1
35
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.7 Extended Campus Management Committees/Vaal Management Team
2.2.2.7.1 Terms of reference 2.2.2.7.2 Membership list 2.2.2.7.3 Agendas 2.2.2.7.4 Minutes 2.2.2.7.5 Attendance register 2.2.2.7.6 Correspondence 2.2.2.7.7 Membership matters 2.2.2.7.8 Awards 2.2.2.7.9 Action list
Campus and committees are referenced by number and authority abbreviation, e.g 2.2.2.7/M or 2.2.2.7/P or 2.2.2.7/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the various management committees in the Office of the Institutional and Campus Registrars for the Potchefstroom and Vaal Triangle Campuses and the Campus Committee Secretariat in the Office of the Campus Registrar on the Mafikeng Campus.
D1
2.2.2.8 Corporate Identity and Branding Committees
2.2.2.8.1 Terms of reference 2.2.2.8.2 Membership list 2.2.2.8.3 Agendas 2.2.2.8.4 Minutes 2.2.2.8.5 Attendance register 2.2.2.8.6 Correspondence 2.2.2.8.7 Membership matters
Campus and IO committees are referenced by number and authority abbreviation, e.g 2.2.2.8/M or 2.2.2.8/P or 2.2.2.8/V or 2.2.2.8/I
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the Corporate Identity and Branding Committees
D1
SERIES CLOSED
36
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.9 Bursaries and Loans Committees
2.2.2.9.1 Terms of reference 2.2.2.9.2 Membership list 2.2.2.9.3 Agendas 2.2.2.9.4 Minutes 2.2.2.9.5 Attendance register 2.2.2.9.6 Correspondence 2.2.2.9.7 Membership matters
Campus and IO committees are referenced by number and authority abbreviation, e.g 2.2.2.9/M or 2.2.2.9/P or 2.2.2.9/V or 2.2.2.9/I
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the Bursaries and Loans committees in the Office of the Institutional and Campus Registrars for the Potchefstroom and Vaal Triangle Campuses and the Campus Committee Secretariat in the Office of the Campus Registrar on the Mafikeng Campus.
D1
2.2.2.10 Electronic Communication Forum
2.2.2.10.1 Terms of reference 2.2.2.10.2 Membership list 2.2.2.10.3 Agendas 2.2.2.10.4 Minutes 2.2.2.10.5 Attendance register 2.2.2.10.6 Correspondence 2.2.2.10.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Electronic Communication Forum secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
2.2.2.11 Working Committee for Facilities
2.2.2.11.1 Terms of reference 2.2.2.11.2 Membership list 2.2.2.11.3 Agendas 2.2.2.11.4 Minutes 2.2.2.11.5 Attendance register 2.2.2.11.6 Correspondence 2.2.2.11.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Working Committee for Facilities Secretariat in the Office of the Executive Director: Finance and Facilities
D1
SERIES CLOSED
37
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.12 Institutional Projects Committee
2.2.2.12.1 Terms of reference 2.2.2.12.2 Membership list 2.2.2.12.3 Agendas 2.2.2.12.4 Minutes 2.2.2.12.5 Attendance register 2.2.2.12.6 Correspondence 2.2.2.12.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
IPC Secretariat in the Office of the Executive Director: Finance and Facilities
D1
2.2.2.13 Institutional Certification Committee
2.2.2.13.1 Terms of reference 2.2.2.13.2 Membership list 2.2.2.13.3 Agendas 2.2.2.13.4 Minutes 2.2.2.13.5 Attendance register 2.2.2.13.6 Correspondence 2.2.2.13.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
ICC secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar
D1
2.2.2.14 House parents committees
2.2.2.14.1 Terms of reference 2.2.2.14.2 Membership list 2.2.2.14.3 Agendas 2.2.2.14.4 Minutes 2.2.2.14.5 Attendance register 2.2.2.14.6 Correspondence 2.2.2.14.7 Membership matters
Campus committees are referenced by number and authority abbreviation, e.g 2.2.2.14/M or 2.2.2.14/P or 2.2.2.14/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
House parents committee secretariats
D1
38
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.15 HIV and AIDS committees
2.2.2.15.1 Terms of reference 2.2.2.15.2 Membership list 2.2.2.15.3 Agendas 2.2.2.15.4 Minutes 2.2.2.15.5 Attendance register 2.2.2.15.6 Correspondence 2.2.2.15.7 Membership matters
Campus committees are referenced by number and authority abbreviation, e.g 2.2.2.15/M or 2.2.2.15/P or 2.2.2.15/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
HIV and AIDS committee secretariats on the Potchefstroom and Vaal Triangle Campuses and the HIV and AIDS co-ordinators on the Mafikeng Campus.
D1
2.2.2.16 Faculty Board Exco
2.2.2.16.1 Terms of reference
2.2.2.16.2 Membership list 2.2.2.16.3 Agendas 2.2.2.16.4 Minutes 2.2.2.16.5 Attendance register 2.2.2.16.6 Correspondence 2.2.2.16.7 Membership matters
Faculty committees are referenced by number and authority abbreviation, e.g, e.g.2.2.2.16/FAST or 2.2.2.16/FA or 2.2.2.16/FH
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Faculty Board Exco secretariat in the Office of the Faculty Dean
D1
39
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.17 Faculty Management meetings
2.2.2.17.1 Terms of reference
2.2.2.17.2 Membership list 2.2.2.17.3 Agendas 2.2.2.17.4 Minutes 2.2.2.17.5 Attendance register 2.2.2.17.6 Correspondence 2.2.2.17.7 Membership matters
Faculty committees are referenced by number and authority abbreviation, e.g, e.g.2.2.2.17/FAST or 2.2.2.17/FA or 2.2.2.17/FH
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Faculty management secretariat in the Office of the Faculty Dean on the Potchefstroom and Vaal Triangle Campuses and the Faculty Officers on the Mafikeng Campus.
D1
2.2.2.18 School director’s meetings
2.2.2.18.1 Terms of reference 2.2.2.18.2 Membership list 2.2.2.18.3 Agendas 2.2.2.18.4 Minutes 2.2.2.18.5 Attendance register 2.2.2.18.6 Correspondence 2.2.2.18.7 Membership matters
School directors’ committees are referenced by number and authority abbreviation, 2.2.2.18/SAM or 2.2.2.18/SBM or 2.2.2.18/SL
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
School Directors’ meeting secretariat in the Office of the School Director on the Potchefstroom and Vaal Triangle Campuses and the secretary to the school directors on the Mafikeng Campus.
D1
40
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.19 Support director’s/managers’ meetings
2.2.2.19.1 Terms of reference 2.2.2.19.2 Membership list 2.2.2.19.3 Agendas 2.2.2.19.4 Minutes 2.2.2.19.5 Attendance register 2.2.2.19.6 Correspondence 2.2.2.19.7 Membership matters
Support directors’ meetings are referenced by number, name of meeting and authority abbreviation, e.g. 2.2.2.19/Communication/I-CC or 2.2.2.19/Communication/P-ACA or 2.2.2.19/Communication/V-CR
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Support Directors’/managers’ meeting secretariat in the Office of the Support Director/Manager Potchefstroom and Vaal Triangle Campuses and the secretary to the director/manager on the Mafikeng Campus.
D1
2.2.2.20 Internal faculty committees 2.2.2.20.1 Terms of reference 2.2.2.20.2 Membership list 2.2.2.20.3 Agendas 2.2.2.20.4 Minutes 2.2.2.20.5 Attendance register 2.2.2.20.6 Correspondence 2.2.2.20.7 Membership matters Internal faculty meetings are referenced by number and authority abbreviation and name of committee in full, e.g.2.2.2.20/FAST-HR Committee
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the internal faculty committee in the office of the Faculty Dean.
D1
41
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.21 Mafikeng Campus specific committees
2.2.2.21.1 Higher degrees committee
2.2.2.21.2 Campus management and CSRC committee
2.2.2.21.3 Campus management and Labour Union meeting
2.2.2.21.4 Animal Research Ethics Committee
2.2.2.21.5 Human Research Ethics Committee
2.2.2.21.6 Deans’ committee
2.2.2.21.7 Residence committee
2.2.2.21.8 Admissions Committee
2.2.2.21.9 Inaugural lecture Committee
2.2.2.21.10 Disciplinary Committee: staff
2.2.2.21.11 Disciplinary Committee: students
2.2.2.21.12 Time Table Committee
2.2.2.21.13 Academic Services Forum
2.2.2.21.14 Campus Radio Advisory Committee
(Should further committees be added, please contact the Records Manager for additional numbers). Committees in this category are unique in nature and only relevant to the specific campus.
Each of the committee files should have the following structure:
o Terms of reference
o Membership list
o Agendas
o Minutes
o Attendance register
o Correspondence
o Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the various committees.
The Campus Secretariat should at all times be informed of the secretariat of the various committees.
A register of committees are to be kept with the Campus Secretariat.
D1
42
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.22 Potchefstroom Campus specific committees
2.2.2.22.1 PUK Forum 2.2.2.22.2 Hostel management and hostel
parents meetings 2.2.2.22.3 Arts committee 2.2.2.22.4 Exco Occupational Health and
safety 2.2.2.22.5 Central management committee
for hostels 2.2.2.22.6 Health and wellness advisory
committee 2.2.2.22.7 Undergraduate Admission
Selection Committee 2.2.2.22.8 Health Care Centre Board 2.2.2.22.9 Timetable Committee 2.2.2.22.10 Academic Rules Committee 2.2.2.22.11 Committee for Disabilities 2.2.2.22.12 Teaching-Learning Technology 2.2.2.22.13 Growing your own timber 2.2.2.22.14 Staff Establishment Committee 2.2.2.22.15 Career Centre Forum
(Should further committees be added, please contact the Records Manager for additional numbers).
Committees in this category are unique in nature and only relevant to the specific campus.
Each of the committee files should have the following structure:
o Terms of reference
o Membership list
o Agendas
o Minutes
o Attendance register
o Correspondence
o Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the various committees.
The Campus Secretariat should at all times be informed of the secretariat of the various committees.
A register of committees are to be kept with the Campus Secretariat.
D1
43
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.23 Vaal Triangle Campus specific committees
2.2.2.23.1 Research committee 2.2.2.23.2 Operational committee 2.2.2.23.3 Communication Forum 2.2.2.23.4 Exco Operations 2.2.2.23.5 Campus Committee on Student
Support Services 2.2.2.23.6 Cafeteria committee 2.2.2.23.7 Teaching committee 2.2.2.23.8 Bookstore and Library advice
committee 2.2.2.23.9 Social Cohesion Committee
(Should further committees be added, please contact the Records Manager for additional numbers).
Committees in this category are unique in nature and only relevant to the specific campus.
Each of the committee files should have the following structure:
o Terms of reference
o Membership list
o Agendas
o Minutes
o Attendance register
o Correspondence
o Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariats of the various committees.
The Campus Secretariat should at all times be informed of the secretariat of the various committees.
A register of committees are to be kept with the Campus Secretariat.
D1
2.2.2.24 Budget committee meetings
2.2.2.24.1 Terms of reference 2.2.2.24.2 Membership list 2.2.2.24.3 Agendas 2.2.2.24.4 Minutes 2.2.2.24.5 Attendance register 2.2.2.24.6 Correspondence 2.2.2.24.7 Membership matters
Budget committee meetings are referenced by number and authority abbreviation, e.g.2.2.2.24/M-SCE or 2.2.2.24/P-FPB or 2.2.2.24/FESIT or 2.2.2.24/I-RMA
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Budget committees.
D1
44
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.25 Intercampus support department meetings
2.2.2.25.1 Terms of reference 2.2.2.25.2 Membership list 2.2.2.25.3 Agendas 2.2.2.25.4 Minutes 2.2.2.25.5 Attendance register 2.2.2.25.6 Correspondence 2.2.2.25.7 Membership matters
Intercampus support department meetings are referenced by number and authority abbreviation and name of committee in full, e.g. 2.2.2.25/I-CAR-Communication Forum
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Secretariat of the Budget committees.
D1
2.2.2.26 Sports code/hostel sport meetings
2.2.2.26.1 Terms of reference 2.2.2.26.2 Membership list 2.2.2.26.3 Agendas 2.2.2.26.4 Minutes 2.2.2.26.5 Attendance register 2.2.2.26.6 Correspondence 2.2.2.26.7 Membership matters
Sports code meetings are referenced by number and authority abbreviation and sport code, e.g.2.2.2.26/M-soccer or 2.2.2.26/P-rugby or 2.2.2.26/V-cricket
Hostel sport meeting is referenced as above and name of hostel, e.g. 2.2.2.26/P-rugby-Veritas.
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the sport code/hostel sport meetings.
D1
45
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.27 Culture group/society meetings
2.2.2.27.1 Terms of reference 2.2.2.27.2 Membership list 2.2.2.27.3 Agendas 2.2.2.27.4 Minutes 2.2.2.27.5 Attendance register 2.2.2.27.6 Correspondence 2.2.2.27.7 Membership matters
Culture group meetings are referenced by number and authority abbreviation and culture group, e.g.2.2.2.27/M-choir or 2.2.2.27/P-Thalia or 2.2.2.27/V-toastmasters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the culture group/society meetings.
D1
2.2.2.28 Institutional Health and Wellness (Co-ordinating) Committee
2.2.2.28.1 Terms of reference 2.2.2.28.2 Membership list 2.2.2.28.3 Agendas 2.2.2.28.4 Minutes 2.2.2.28.5 Attendance register 2.2.2.28.6 Correspondence 2.2.2.28.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Institutional Health and Wellness (Co-ordinating) Committee in the office of the Director: Diversity, Equity and Human Rights
D1
2.2.2.29 Capacity building fund committee
2.2.2.29.1 Terms of reference 2.2.2.29.2 Membership list 2.2.2.29.3 Agendas 2.2.2.29.4 Minutes 2.2.2.29.5 Attendance register 2.2.2.29.6 Correspondence 2.2.2.29.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Institutional Health and Wellness (Co-ordinating) Committee in the office of the Director: Diversity, Equity and Human Rights
D1
46
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.30 Quality Assurance Committees
2.2.2.28.1 Terms of reference 2.2.2.28.2 Membership list 2.2.2.28.3 Agendas 2.2.2.28.4 Minutes 2.2.2.28.5 Attendance register 2.2.2.28.6 Correspondence 2.2.2.28.7 Membership matters
Quality Assurance Committees meetings are referenced by number and authority abbreviation, e.g 2.2.2.30/M or 2.2.2.30/P or 2.2.2.30/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Quality Assurance Committees on the campuses
D1
2.2.2.31 Quality Improvement Committees
2.2.2.28.1 Terms of reference 2.2.2.28.2 Membership list 2.2.2.28.3 Agendas 2.2.2.28.4 Minutes 2.2.2.28.5 Attendance register 2.2.2.28.6 Correspondence 2.2.2.28.7 Membership matters
Quality Improvements Committees meetings are referenced by number and authority abbreviation, e.g 2.2.2.31/M or 2.2.2.31/P or 2.2.2.31/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Quality Improvement Committees on the campuses
D1
47
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.32 External funding Committees
2.2.2.32.1 Terms of reference 2.2.2.32.2 Membership list 2.2.2.32.3 Agendas 2.2.2.32.4 Minutes 2.2.2.32.5 Attendance register 2.2.2.32.6 Correspondence 2.2.2.32.7 Membership matters
External funding Committees meetings are referenced by number and name of funding entity, e.g 2.2.2.32/PUK-Kanselierstrust
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of various committees D1
2.2.2.33 Deans’ Comittees
2.2.2.33.1 Terms of reference 2.2.2.33.2 Membership list 2.2.2.33.3 Agendas 2.2.2.33.4 Minutes 2.2.2.33.5 Attendance register 2.2.2.33.6 Correspondence 2.2.2.33.7 Membership matters 2.2.2.33.8 Action list
Deans’ Committees meetings are referenced by number and authority abbreviation, e.g 2.2.2.33/M or 2.2.2.33/P or 2.2.2.33/V
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Campus Secretariat of committees D1
48
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.34 IT Adivsory Board
2.2.2.34.1 Terms of reference 2.2.2.34.2 Membership list 2.2.2.34.3 Agendas 2.2.2.34.4 Minutes 2.2.2.34.5 Attendance register 2.2.2.34.6 Correspondence 2.2.2.34.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the IT Advisory Board D1
2.2.2.35 Combined Assurance Forum
2.2.2.35.1 Terms of reference 2.2.2.35.2 Membership list 2.2.2.35.3 Agendas 2.2.2.35.4 Minutes 2.2.2.35.5 Attendance register 2.2.2.35.6 Correspondence 2.2.2.35.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Combined Assurance Forum
D1
2.2.2.36 Campus Residence meetings
2.2.2.36.1 Terms of reference 2.2.2.36.2 Membership list 2.2.2.36.3 Agendas 2.2.2.36.4 Minutes 2.2.2.36.5 Attendance register 2.2.2.36.6 Correspondence 2.2.2.36.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Residence D1
49
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.37 Branding, Marketing, Communication & Advancement Committee
2.2.2.37.1 Terms of reference 2.2.2.37.2 Membership list 2.2.2.37.3 Agendas 2.2.2.37.4 Minutes 2.2.2.37.5 Attendance register 2.2.2.37.6 Correspondence 2.2.2.37.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Committee D1
2.2.2.38 Advancement Project & Evaluation Committee (APEC)
2.2.2.38.1 Terms of reference 2.2.2.38.2 Membership list 2.2.2.38.3 Agendas 2.2.2.38.4 Minutes 2.2.2.38.5 Attendance register 2.2.2.38.6 Correspondence 2.2.2.38.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Committee D1
2.2.2.39 Alumni Association
2.2.2.39.1 Terms of reference 2.2.2.39.2 Membership list 2.2.2.39.3 Agendas 2.2.2.39.4 Minutes 2.2.2.39.5 Attendance register 2.2.2.39.6 Correspondence 2.2.2.39.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Committee D1
50
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.2.2.40 Management meetings with external entities
2.2.2.40.1 Terms of reference 2.2.2.40.2 Membership list 2.2.2.40.3 Agendas 2.2.2.40.4 Minutes 2.2.2.40.5 Attendance register 2.2.2.40.6 Correspondence
2.2.2.40.7 Membership matters
Meetings are referenced by number name of entity, e.g 2.2.2.40/Sol Plaatje
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Committee D1
2.2.2.41 Integrated Planning and Reporting Technical Committee
2.2.2.41.1 Terms of reference 2.2.2.41.2 Membership list 2.2.2.41.3 Agendas 2.2.2.41.4 Minutes 2.2.2.41.5 Attendance register 2.2.2.41.6 Correspondence
2.2.2.41.7 Membership matters
A1. Records are to be kept in safe and secure storage areas until transfer to Archives occur.
Secretariat of the Committee D1
2.2.3 Service level agreements D5 Manager responsible for the service level agreement.
D1
2.2.4 Standard Operating Procedures D3 Manager responsible for the SOP
D1
2.2.5 Confidentiality agreements D3 Manager responsible for agreement D1
51
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3 Quality management
2.3.1 Academic quality management
2.3.1.1 Faculty Quality manuals Individual quality manuals are referenced by number and authority abbreviation, e.g. 2.3.1.1/FAST
2.3.1.1.1 Guide for completing the Faculty Quality manual
2.3.1.1.1.1 Template
A5. Electronic copy of manual to be sent to Quality Office.
Faculty quality officers D after completion of 7 year audit cycle.
2.3.1.2 Internal Programme Evaluation (IPE)
2.3.1.2.1 Guides and questionnaires 2.3.1.2.1.1. Guidelines for completing the
questionnaire for Internal Programme Evaluation
2.3.1.2.1.2 Compiling Programme Document
2.3.1.2.1.3 List of possible evidence of internal evaluations
2.3.1.2.1.4 Undergraduate & Honours Questionnaire
2.3.1.2.1.5 Structured Masters questionnaire
2.3.1.2.1.6 Subject in program evaluation 2.3.1.2.1.7 Student programme feedback
questionnaire (undergraduate and honours)
2.3.1.2.1.8 Student programme feedback questionnaire (post-graduate)
2.3.1.2.1.9 Evaluation questionnaire teaching-learning
2.3.1.2.1.10 Control questions
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
52
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.1.2.2 Reports A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Vice-Rector: Quality and Planning D after completion of 7 year audit cycle.
2.3.1.2.3 Improvement plans A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Vice-Rector: Quality and Planning D after completion of 7 year audit cycle.
2.3.1.2.4 Progress reports A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Vice-Rector: Quality and Planning D after completion of 7 year audit cycle.
2.3.1.2.5 Status of historic and future IPE’s A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.2.7 Training A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.3 External programme evaluation (EPE)
2.3.1.3.1 Guides and questionnaires
2.3.1.3.1.1 Guides 2.3.1.3.1.2 Undergraduate & Honours
Questionnaire 2.3.1.3.1.3 Structured Masters
Questionnaire
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
53
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.1.3.1.4 External Programme Evaluation Portfolio
2.3.1.3.2 Evaluation reports
2.3.1.3.2.1 Preliminary report: Template undergraduate
2.3.1.3.2.2 Preliminary report: Template postgraduate
2.3.1.3.2.3 Acceptance template
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.3.3 Improvement plans A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.3.4 Progress reports A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.3.5 Status of historic and future EPE’s
2.3.1.3.5.1 List of EPE panel members
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.3.6 Post-External Evaluation (Post-EPE)
2.3.1.3.6.1 Guides
2.3.1.3.6.3 Improvement plans
2.3.1.3.6.4 Progress reports
2.3.1.3.6.4.1 Mid-cycle progress reports
2.3.1.3.6.4.2 Feedback reports
2.3.1.3.6.4.3 Full-cycle improvement
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
54
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
reports
2.3.1.3.6.5 Status of historic and future Post-EPEs
2.3.1.3.7 Training A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.4 National and International Programme Reviews
2.3.1.4.1 Guides A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
2.3.1.4.2 Reports A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
2.3.1.4.3 Improvement plans A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage
Dean of Faculty D after completion of 7 year audit cycle.
55
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
areas until transfer to Institutional Archives occur.
2.3.1.4.4 Progress reports A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
2.3.1.4.5 Status of historic and future reviews A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
2.3.1.5 Statutory / non-statutory Councils
2.3.1.5.1 Reports A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
2.3.1.5.3 Improvement plans A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
56
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.1.5.5 Status of historic and future reviews A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Dean of Faculty D after completion of 7 year audit cycle.
2.3.1.6 Internal Aligned Programme Evaluation (IAPE)
2.3.1.6.1 Guides and Questionnaires
2.3.1.6.1.1. Guidelines for completing the questionnaire for IAPE
2.3.1.6.1.2 Compiling programme documentation
2.3.1.6.1.3 List of possible evidence of IAPE
2.3.1.6.1.4 Undergraduate & Honours Questionnaire
2.3.1.6.1.5 Structured Masters Questionnaire
2.3.1.6.1.6 Subject programme evaluation
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.6.2 Reports A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.6.3 Improvement plans A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
57
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.1.6.4 Progress reports A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.6.5 Status of historic and future IAPE’s A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.6.7 Training A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.7 External Aligned Programme Evaluation
2.3.1.7.1 Guides and Questionnaires
2.3.1.7.1.1 Guides
2.3.1.7.1.2 Undergraduate and Honours Aligned Questionnaires
2.3.1.7.1.3 Reports
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.1.8 Internal Programme Evaluation (Research Masters & Doctoral Degree)
2.3.1.8.1 Guides and Questionnaires
2.3.1.8.1.1 Guide
2.3.1.8.1.2 Questionnaire
2.3.1.7.1.3 Programme Feedback Questionnaire
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
58
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.1.9 External Programme Evaluation (Research Masters & Doctoral Degree)
2.3.1.9.1 Guides and Questionnaires
2.3.1.9.1.1 Guide
2.3.1.9.1.2 Questionnaire
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.2 Support Departments quality management
2.3.2.1 Guides and questionnaires
2.3.2.1.1 Guide for Self-evaluation
2.3.2.1.2 Questionnaire for Self-evaluation
2.3.2.1.3 Guide for Peer Evaluation
2.3.2.1.4 Questionnaire for Peer Evaluation
2.3.2.1.5 Process document for Post-Peer Evaluation
2.3.2.1.6 Portfolio for Peer Evaluation
2.3.2.1.7 Questionnaire for self-evaluation of soft reviews
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.2.2 Evaluation reports
2.3.2.2.1 Self-evaluation
2.3.2.2.2 Peer Evaluation
2.3.2.2.3 Soft review
2.3.2.2.4 Post-peer Evaluation
2.3.2.2.5 Template for accepting report
A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director/manager of support department
D after completion of 7 year audit cycle.
2.3.2.3 Improvement plans
Individual plans are referenced by number
A5. Copy must be sent to Quality Office.
Director/manager of support department
D after completion of 7 year audit cycle.
59
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
and authority abbreviation, e.g. 2.3.2.3/I-RMA.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
2.3.2.4 Progress reports
Individual reports are referenced by number and authority abbreviation, e.g. 2.3.2.4/I-RMA.
A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director/manager of support department
D after completion of 7 year audit cycle.
2.3.2.5 Status of historic and future evaluations
2.3.2.5.1 List of panel members
A5. Copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director/manager of support department
D after completion of 7 year audit cycle.
2.3.2.6 Quality manuals
2.3.2.6.1 Guide
2.3.2.6.5 Status of manuals
Individual quality manuals are referenced by number and authority abbreviation, e.g. 2.3.2.1/I-RMA
A5. Electronic copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director/manager of support department
D after completion of 7 year audit cycle.
2.3.2.7 Status of Support Departments A5. Electronic copy must Director/manager of support D after completion of
60
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
department 7 year audit cycle.
2.3.2.8 Feedback
2.3.2.8.1 Questionnaire
2.3.2.8.2 Feedback report
A5. Electronic copy must be sent to Quality Office.
Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director/manager of support department
D after completion of 7 year audit cycle.
2.3.3 Institutional Quality Audit (HEQC)
2.3.3.1 Self-evaluation report A2. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.3.2 Gap register
2.3.3.2.1 Gaps closure
A2. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.3.3 NWU Feedback register D6 months after receipt of HEQC audit report from HEQC
Director: Quality Office D after completion of 7 year audit cycle.
2.3.3.4 HEQC audit report A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
61
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.3.5 Improvement plan A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.3.6 Follow up (reports, visits, etc) A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.3.7 HEQC training A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.4 Institutional Research Reports
2.3.4.1 Reports to Institutional Management
2.3.4.2 Reports to Campus Senate Committees
2.3.4.3 Reports to Institutional Senate
2.3.4.4 Reports to Council
2.3.4.5 Reports to HEQC
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
2.3.5 Short Courses
2.3.5.1.1 Guides and Questionnaires (internal)
2.3.5.1.2 Reports (internal)
2.3.5.1.3 Improvement plans (internal)
A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Quality Office D after completion of 7 year audit cycle.
62
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.3.5.1.4 Guides and Questionnaires (external)
2.3.5.1.5 Reports (external)
2.3.5.1.6 Improvement plans (external)
2.4 Legal matters
2.4.1 Contracts and agreements management
• Addendum • Agreement • Cooperaton agreement • Material Transfer agreement • Memorandum of Understanding • Non-Disclosure agreement • Research agreement • Service Level agreement • Study assistance agreement • Tender agreement • Other
Contracts and agreements are referenced according to the type followed by the name of the other party and a numerical identifier, e.g. 2.4.1/SASOL-1
D30 for government contracts
D5 after expiry for any other contract
Legal Services in the Office of the Institutional Registrar.
All contracts and agreements entered into in the name of the NWU must be sent to the Legal Office for recordkeeping.
D5 after expiration of contract or agreement.
2.4.2 Intellectual property management (this series is used for the legal aspects of intellectual property. For other aspects see 1.1.10, 10.2 of 10.6)
2.4.2.1 Trademark portfolio A2 after every update Legal Services in the Office of the Institutional Registrar.
D5 after every update
2.4.2.2 Agreements 2.4.2.2.1 Co-operation 2.4.2.2.2 Non-disclosure
D5 after expiration of agreement
Legal Services in the Office of the Institutional Registrar.
D3
SERIES CLOSED
63
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.4.2.2.3 Material transfer 2.4.2.2.4 Grant 2.4.2.2.5 Research
2.4.2.3 Patents 2.4.2.3.1 Co-operation Treaty 2.4.2.3.2 Application/registration 2.4.2.3.3 Investigation correspondence 2.4.2.3.4 Renewals 2.4.2.3.5 Prosecuting 2.4.2.3.6 Portfolio
A5 after lapse of patent Legal Services in the Office of the Institutional Registrar.
D3
2.4.2.4 Commercialisation 2.4.2.4.1 Venture capital 2.4.2.4.2 Licensing agreements 2.4.2.4.3 Spin-off companies 2.4.2.4.4 Tantiéme
D5 after laps of IP Legal Services in the Office of the Institutional Registrar.
D3
2.4.3 Copyright management
2.4.3.1 Dalro/Samro issues 2.4.3.2 Plagiarism issues
Files are opened with reference made to plagiarism issue, e.g. 2.4.3.2/Smith
A1 after amendments Legal Services in the Office of the Institutional Registrar.
No copies to be kept by other offices.
2.4.4 Litigation
A file is opened for each litigation case, and referenced 2.4.4/name of counterparty, e.g. 2.4.4/Smith
Should the litigation have a contract as
A5 after finalisation
Hard copy available at Legal Consultant
Legal Services in the Office of the Institutional Registrar.
No copies to be kept by other offices.
64
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
source, reference is made of the relevant contract as referenced under contracts, e.g. 2.4.4/2.4.1.2/SASOL-1
2.4.5 Company law management
2.4.5.1 Shareholder agreements 2.4.5.2 External companies and trusts
Files are opened with reference made to company to be/established, e.g. 2.4.5.1/Happiness CC
All correspondence, deeds, etc are filed under this folder.
D5 after expiration of agreement
Legal Services in the Office of the Institutional Registrar.
No copies to be kept by other offices.
2.4.6 Legal advice
Files are opened with reference made to the subject on which advice was sought e.g. 2.4.6/Contract disposal.
D5 after finalisation
Hard copy available at Legal Consultant
Legal Services in the Office of the Institutional Registrar.
No copies to be kept by other offices.
2.4.7 Legal disclaimers/Indeminity forms D3 Department/Faculty/School who requires disclaimer
No copies to be kept by other offices.
For matters relating to:
Staff discipline, please refer to 3.13.
Student discipline, please refer to 7.3.8
SERIES CLOSED
65
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.5 Language management
2.5.1 Language policy management and implementation
2.5.1.1 Language audit A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Manager of Language Directorate in the Office the Executive advisor reporting to the Vice-Chancellor
No copies to be kept by other offices.
2.5.1.2 Policy planning reports A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Manager of Language Directorate in the Office the Executive advisor reporting to the Vice
No copies to be kept by other offices.
2.5.1.3 Policy management processes
Matters are filed according to campus and process involvement, e.g. 2.5.1.2/I-Web
P in office of origin. Manager of Language Directorate in the Office the Executive advisor reporting to the Vice
No copies to be kept by other offices.
2.5.1.4 Ombuds matters
Matters are dealt with as case files and referenced 2.5.1.3C/name of matter, e.g. 2.5.1.3C/Parking discs 2008
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Manager of Language Directorate in the Office the Executive advisor reporting to the Vice
No copies to be kept by other offices.
2.5.1.5 Academic literacy P in office of origin. Manager of Language Directorate in the Office the Executive advisor reporting to the Vice
No copies to be kept by other offices.
2.5.1.6 Multilingualism pilot projects
Matters are dealt with as case files and referenced 2.5.1.6C/name of project, e.g. 2.5.1.6C/TransTips
P in office of origin. Manager of Language Directorate in the Office the Executive advisor reporting to the Vice
No copies to be kept by other offices.
66
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.5.1.7 Business information provision
Referenced with 2.5.1.7/date-dept provided to, e.g. 2.5.1.7/2008-CAR
P in office of origin. Manager of Language Directorate in the Office the Executive advisor reporting to the Vice-Chancellor
No copies to be kept by other offices.
2.5.2 Language services
2.5.2.1 Translation
These are open files but should contain related information
P in office of origin. Head: Language Services in the Language Directorate
No copies to be kept by other offices.
2.5.2.2 Editing
These are open files but should contain related information
P in office of origin. Head: Language Services in the Language Directorate
No copies to be kept by other offices.
2.5.2.3 Corporate interpreting
These are open files but should contain related information
P in office of origin. Head: Language Services in the Language Directorate
No copies to be kept by other offices.
2.5.3 Educational interpretation services
2.5.3.1 Status reports
Reports are filed according to number and programme.
P in office of origin. Manager: Educational Interpreting Services in the Language Directorate for the Potchefstroom Campus
Director: Language Directorate in the Office of the Institutional Registrar for Mafikeng and Vaal Triangle Campuses
No copies to be kept by other offices.
67
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.5.3.2 Running process
Planning reports are filed number and module, eg 2.5.3.2/FTHP111 and includes records such timetables and study guides
P in office of origin. Manager: Educational Interpreting Services in the Language Directorate
No copies to be kept by other offices.
2.5.3.3 Interpreter administration
2.5.3.3.1 Manual 2.5.3.3.2 Diary 2.5.3.3.3 Terminology list
Administration are dealt with as case files and referenced 2.5.3.3C/surname of interpreter, e.g. 2.5.3.3C/Smit, R
Remuneration of interpreters is an HR matter and referenced 3.8.3.1
P in office of origin. Manager: Educational Interpreting Services in the Language Directorate
No copies to be kept by other offices.
2.5.3.4 Assessment of interpreters
Referenced with 2.5.3.4/name of interpreter, e.g. 2.5.3.4/Smit, R
P in office of origin. Researcher in the Language Directorate
No copies to be kept by other offices.
2.5.3.5 System administration and reports (data gathering)
P on system UniList: Manager: Educational Interpreting Services in the Language Directorate
No copies to be kept by other offices.
2.5.4 Commercialisation of language expertise
2.5.4.1 Language consultation projects
Matters are dealt with as case files and referenced 2.5.4.1C/name of project, e.g. 2.5.4.1C/Marlene
P in office of origin. Director of Language Directorate in the Office of the Institutional Registrar
No copies to be kept by other offices.
68
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.5.4.2 External training: short courses P in office of origin. Head: Language Services in the Language Directorate
No copies to be kept by other offices.
2.5.4.3 Internal training: Educational interpreters P in office of origin. Head: Language Services in the Language Directorate
No copies to be kept by other offices.
2.5.5 Research in language matters
2.5.5.1 Data
2.5.5.2 DTS Research
2.5.5.3 Students
2.5.5.4 Research Administration
2.5.5.5 Articles
P in office of origin. Director of Language Directorate in the Office of the Institutional Registrar and the Researcher in the Language Directorate
No copies to be kept by other offices.
2.6 Management Information
2.6.1 Management Information System
2.6.1.1 Data warehouse reports
Referenced 2.6.1.1/name of report
2.6.1.1/performance indicators, 2.6.1.1/fact book.
P on MIS system
Manager: Management Information in the Office of the Institutional Registrar
No copies to be kept by other offices.
69
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.6.1.2 System administration
2.6.1.2.1 Manuals/Procedures
P on MIS system
Records relating to background system administration D1.
Manager: Management Information in the Office of the Institutional Registrar
No copies to be kept by other offices.
2.6.1.3 HEMIS reporting
2.6.1.3.1 Students 2.6.1.3.2 Staff (Timesheets) 2.6.1.3.3 Space
Reports and acknowledgement of receipt: A after submission to Department of Education.
Correspondence: D3
Manager: Management Information in the Office of the Institutional Registrar
No copies to be kept by other offices.
2.6.1.4 Department of Higher Education and Training enquiries
Referenced 2.6.1.4/serial number (number of enquiry and year) e.g. 2.6.1.4/01-2009
D30 Manager: Management Information in the Office of the Institutional Registrar
No copies to be kept by other offices.
2.6.1.5 Ad hoc enquiries
Referenced 2.6.1.5/name of department listing enquiry e.g. 2.6.1.5/I-RMA
D3 Manager: Management Information in the Office of the Institutional Registrar
No copies to be kept by other offices.
2.6.2 Faculty profiles A when finalised and printed. Copy to be sent to Quality Office.
Vice-Rectors No copies to be kept by other offices.
2.6.3 Statistics D3 Manager: Management Information in the Office of the Institutional Registrar
No copies to be kept by other offices.
70
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.7 Transformation management
2.7.1 Diversity management
2.7.1.1 Interventions/programmes
A case file is opened for each intervention and referenced by number and name of intervention, e.g. 2.7.1.1C/Industrial Theatre.
2.7.1.2 Reports
2.7.1.3 Plans
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
2.7.2 Equity management
2.7.2.1 Department of Labour Plan
2.7.2.2 Department of Labour Reports
2.7.2.3 Annual targets to Department of Labour
A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
Employment Equity is referenced 3.14 and 1.1.6 depending on the nature of the record.
71
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.7.3 Human Rights management
2.7.3.1 Interventions/programmes
A case file is opened for each intervention and referenced by number and name of intervention, e.g. 2.7.3.1C/Sensitivity.
2.7.3.2 Violation reporting and investigations
A case file is opened for each violation and referenced by number and name of investigation, e.g. 2.7.3.2C/Facebook.
2.7.3.3 Monitoring and assessment
2.7.3.4 Reports
2.7.3.5 Correspondence
2.7.3.6 Complaint form
2.7.3.7 Complaints register
Records 1 and 3: A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Record 2: A5 after finalisation
Records 6 and 7 : D7
Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
For the records of the Human Rights Committee, please use 1.3.30.
2.7.4 Merger management A Director: Office of the Vice-Chancellor reporting to the Vice-Chancellor
No copies to be kept by other offices.
72
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.8 Internationalisation
2.8.1 Administration of foreign students
2.8.1C Foreign student file
A case file is opened for each student and referenced 2.8.1C/country of origin-surname, e.g. 2.8.1.1C/Botswana-Cheyip.
Records in the case file are referenced 7.1.1.6 (as they are copies of the records in the foreign student file at Academic Administration). The following records are additionally kept as part of the case file in this Office:
2.8.1.1 Medical report 2.8.1.2 Visitors permit
The original records are kept as part of the official student file and the International Office keeps a copy file for each foreign student.
D5.
Senior Administrative Officer in the International Office
No copies to be kept by other offices.
2.8.2 Database P on system Senior Administrative Officer in the International Office
No copies to be kept by other offices.
2.8.3 International education opportunities
2.8.3.1 Database of partner institutions 2.8.3.2 Work/study-abroad period
administration 2.8.3.3 Visiting academics 2.8.3.4 International partnerships
D5 Senior Administrative Officer in the International Office and staff member working or studying abroad or staff member receiving visiting academics
No copies to be kept by other offices.
2.8.4 Collaboration D5 Senior Administrative Officer in the International Office and staff member working or studying abroad or staff member receiving visiting academics
No copies to be kept by other offices.
For international and inter-institutional agreements/contract refer to 2.4.1.3
73
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
Administration of foreign staff
This is a Human Resource matter and is referenced 3.2.1.2
2.9 Internal audit
2.9.1 Internal Audit administration 2.9.1.1 Audit plan 2.9.1.2 Charter 2.9.1.3 Core accountabilities 2.9.1.4 Contracts 2.9.1.5 Audit tracking record 2.9.1.6 Time sheets 2.9.1.7 Quality assessment 2.9.1.8 Audit library 2.9.1.9 Forms and templates
DAU5 Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.2 Reporting of audit activities P in office of origin. Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.3 Audit work paper files A file per year per audit is opened for all audit assignments and relevant information related to audit. 2.9.3.3 Follow-up audits 2.9.3.4 Assurance audits 2.9.3.5 Ad hoc assignments audits 2.9.3.6 Special investigation audits 2.9.3.7 Compliance audits 2.9.3.8 Verification audits 2.9.3.9 Year-end audits
DAU5
These records are kept electronically on the department’s T: drive.
Record 6: Confidential
Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
74
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.9.3.10 Significant risk finding audits 2.9.3.11 Consultations 2.9.3.12 Continuous monitoring audits A case file is referenced 2.9.3.3 alphabet letter and name of audit e.g. 2.9.3.8a Graduates
2.9.4 Audit reports
Reporting to – 2.9.4.1 Institutional Management report 2.9.4.2 Audit-, Risk- and Compliance Committee Report 2.9.4.3 Follow-up reports 2.9.4.4 Assurance reports 2.9.4.5 Ad hoc assignments 2.9.4.6 Special investigations 2.9.4.7 Compliance reports 2.9.4.8 Verification reports 2.9.4.9 Year-end 2.9.4.10 Significant control findings 2.9.4.11 Consultations 2.9.4.12 Continuous monitoring reports 2.9.4.13 External audit reports 2.9.4.14 Quality Review
Records 1 forms part of the records of the Institutional management committee (2.2.2.1).
Record 2 forms part of the records of the Audit-, Risk- and Compliance Committee (1.3.11). Records 3: DAU5
These records are kept electronically on the department’s T: drive and a working paper hard copy file is kept in open cabinets.
Record 6: Confidential
Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.5 Risk register of the NWU Electronically available.
DAU5
Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.6 Whistle-blow reporting DAU5 Director: Internal Audit reporting to – No copies to be kept
75
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.9.6.1 Disclosure of information and enquiries
Confidential Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
by other offices.
2.9.7 Risk management DAU5 Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.8 Compliance monitoring DAU5 Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.9 ACL projects DAU5 Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
76
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.9.10 Internal controls DAU5 Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.9.11 Tender auditing / monitoring
2.9.11.1 IA Tender certificates (referenced numerically, year, month, campus e.g. IA 2/2012 08 PC)
2.9.11.2 IA Tender database
Record 1: DAU5
Record 2: Permanently on electronic system
Director: Internal Audit reporting to –
Administratively – Executive Director: Finance and Facilities
Functional – Audit-, Risk- and Compliance Committee (subcommittee of Council)
No copies to be kept by other offices.
2.10 Project Management
A case file is opened for each project and can contain the following records:
2.10.1 Administration
2.10.2 Mandate
2.10.3 Planning
2.10.4 Progress reports
2.10.5 Project deliverables
2.10.6 Supporting documentation
A case file is referenced 2.10/project number or name of project
D3 after completion of project
Consultation with University Archivist regarding the historical value of the project
Project manager D1
77
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.11 Records Management
2.11.1 File plan A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.
Manager: Records Management and Administration reporting to the Institutional Registrar
D1
2.11.2 Disposal 2.11.2.1 Destruction certificates 2.11.2.2 Authorities/Mandates 2.11.2.3 Destruction register
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
2.11.3 Storage room management 2.11.3.1. Survey A case file is opened for the annual survey and is referenced 2.11.3.1.1.C/year, e.g. 2.11.3.1.1C/2010 The case file can contain the following records: 2.11.3.1.1 Approval letter 2.11.3.1.2 Plan 2.11.3.1.3 Register 2.11.3.1.4 Report 2.11.3.2. Transfer 2.11.3.2.1. Forms 2.11.3.2.2 Lists 2.11.3.2.3 Register
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
78
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.11.4 Training 2.11.4.1 Registration form 2.11.4.2 Attendance Register 2.11.4.3 Evaluation form 2.11.4.4 Confirmation of attendance
P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
2.11.5 Performance management P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
2.11.6 E-records management P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
2.11.7 Involvement P in office of origin. Manager: Records Management and Administration reporting to the Institutional Registrar
D1
2.12 Archives Management
Records in this series are kept according to archival principles and practices.
2.12.1 Appraisal
2.12.1.1 Requests received D1 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.1.2 Appraisal work sheets D3 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.1.3 Appraisal checklist D3 Archivists reporting to the Institutional and Campus Registrars
D1
79
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.12.2 Acquisition
2.12.2.1 Requests for transfers D1 after transfer Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.2 Transfer register P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.3 Transfer forms P in office of origin until inventory is finalised
Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.4 Acquisition checklist D after transfer Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.5 Donor agreements P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.6 Donor list P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.7 Acknowledge receipts – official records P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.2.8 Letter of thanks – Private collections P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3 Accession and de-accession
2.12.3.1 Authority files P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.2 Accession register P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.3 Accession forms P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
80
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.12.3.4 Separation forms P in office of origin until collection has been arranged
Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.5 Deeds of Gift P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.6 Shelf occupation lists D after update Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.7 Shelve lists D after update Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.8 Box labels D after update Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.9 Accession control forms P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.10 Outgoing records P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.11 De-accession forms (Damaged, missing, destroyed, give up legal title).
P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.3.12 De-accession notifications P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.4 Arrangement and Description
81
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.12.4.1 Arrangement notes P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.4.2 Processing work sheets:
Biography notes Organizational histories Scope notes File and box lists
D3 after final completion of inventory
Archivists reporting to the Institutional and Campus Registrars
D1
2.12.4.3 Finding aids
2.12.4.3.1 Guide to Archival holdings P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.4.3.2 Inventories P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.4.3.3 Database management P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.5 Preservation
2.12.5.1 Preservation projects P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.5.2
Macro-environment
2.12.5.2.1 Storage environment control forms:
Air conditioning systems and filter changes
Temperature and Humidity control
Smoke detectors
D3
Archivists reporting to the Institutional and Campus Registrars
D1
82
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
Pest control
Mould control
Security control
2.12.5.3 Micro environment
Storage containers etc
P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.5.4 Conservation
2.12.5.4.1 Records send for conservation P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.5.4.2 Conservation material D3 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.5.5 Disaster management
2.12.5.5.1 Disaster plan P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.5.5.2 Disaster equipment list D after update Archivists reporting to the Institutional and Campus Registrars
D1
2.12.6 Reference service
2.12.6.1 Reference requests D5 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.6.2 Reading room rules P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
83
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.12.6.3 Records taken out of storage P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.7 Access
2.12.7.1 Professional ethics P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.7.2 Confidentiality of agreements
See also 1.1.4.2 Requests regarding Promotion of Access to Information
Act 2 of 2000
P in office of origin Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8 Outreach
2.12.8.1 Lectures D3 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8.2 Visits D3 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8.3 Exhibits D3 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8.4 Brochures/Pamphlets A Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8.5 News bulletins A Archivists reporting to the Institutional and Campus Registrars
D1
84
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.12.8.6 Website A after update Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8.7 Campus Archives D3 Archivists reporting to the Institutional and Campus Registrars
D1
2.12.8.8 Contact list D1 after update Archivists reporting to the Institutional and Campus Registrars
D1
2.13 Library management
Records in this series are kept according to library principles and practices.
2.14 Mail management
2.14.1 Postal services
2.14.1.1 Incoming mail
2.14.1.1.1 Registered D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.1.2 Insured D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.1.3 Packages D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.1.4 Normal D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.1.5 Fast mail D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.2 Outgoing mail
2.14.1.2.1 Registered D6months Postal and Courier Services No copies to be kept by other offices.
85
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.14.1.2.2 Insured D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.2.3 Packages D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.2.4 Normal D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.3 Internal/per hand mail D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.4 Mass mail D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.5 Specialist postal services
• Salary slips • IO petty cash
D6months Postal and Courier Services No copies to be kept by other offices.
2.14.1.6 VTC intercampus mail service D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2 Courier services
2.14.2.1 Incoming domestic packages D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.2 Outgoing domestic packages D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.3 Imports D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.4 Exports D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.5 Biological monsters D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.6 Import tax D6months Postal and Courier Services No copies to be kept by other offices.
86
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.14.2.7 Mafikeng intercampus service D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.8 Waybills D6months Postal and Courier Services No copies to be kept by other offices.
2.14.2.9 Courier company accounts D6months Postal and Courier Services No copies to be kept by other offices.
2.15 Almanacs/timetables
2.15.1 Institutional almanac 2.15.2 Meeting timetables 2.15.3 Other timetables
Record 1: A on 30 November annually.
Record 2 and 3: D1
Manager: Records Management and Administration reporting to the Institutional Registrar and Secretariats
D1
2.16 Ceremonies
A case file is opened for each ceremony and referenced by number and authority abbreviation and name of ceremony, e.g. 2.16C/V-opening
A. Records such as programmes for the ceremony, attendance lists, photos, etc have historical value.
Officer arranging ceremony. D1
2.17 Special management awards
A case file is opened for each special award and is referenced by number and authority abbreviation and name of award, e.g. 2.17C/V-rector’s honorary award or 2.17C/P-dean merit award.
Any award not awarded by a committee is filed in this series.
A copy of special award. Officer responsible for administration of award.
D1
87
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.18 HIV/AIDS management
2.18.1 Marketing
A case file is opened for each marketing campaign and is referenced by number and marketing intervention, e.g. 2.18.1C/Prevention
A1 final marketing material and photos
Manager: HIV/AIDS reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
2.18.2 Training
A case file is opened for each training intervention and is referenced by number and training intervention, e.g. 2.18.2C/Prevention
D3 Manager: HIV/AIDS reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
2.18.3 Peer Education D3 Manager: HIV/AIDS reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
2.18.4 Statistics D5 Manager: HIV/AIDS reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
88
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.19 Operational management
2.19.1 Investigation administration
A case file is opened for each case and is referenced 2.19.1C/case number.
The information is firstly captured on the CHASE system and the system generates a case number. Hard copies of the statements etc. are kept in a hard copy file with the same reference number
Disposal: P on CHASE system
Hard copies: D10
Record owner: Investigation officer in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
2.19.2 Protection management
2.19.2.1 Protection
2.19.2.2 Alarms
2.19.2.3 Violation of regulations
2.19.2.4 Authority letters – removal of assets
2.19.2.5 Disclaimer – opening vehicles
2.19.2.6 Crime prevention planning
Record 1, 4 and 5: D1
Record 2, 3 and 6: D3
Manager: Protection in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
2.19.3 Health and Safety Administration
2.19.3.1 First Aid
2.19.3.2 Representatives
D5 Manager: Protection in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
2.19.4 Training
2.19.4.1 Security
2.19.4.2 Fire weapons
A case file is opened for each trainee and is
D7 Training officer in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
89
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
referenced 2.19.4.2C/Surname and Name
The case file can contain the following:
• Registration form • Contact details • Copy of ID document • Tests • Examination answer sheets • Correspondence • Questionnaires
2.19.5 Event administration
2.19.5.1 Planning
D1 Manager: Protection in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
2.19.6 Traffic and access control administration
2.19.6.1 Traffic and parking control
2.19.6.1.1 Accidents 2.19.6.1.2 Reservations 2.19.6.1.3 Roof parking 2.19.6.1.4 Parking permits 2.19.6.1.5 Fines 2.19.6.1.6 Correspondence
Record 1: D5
Record 2 en 4: D3
Record 3: P on CAS system
Record 5: P on CAS system. Hard copies: D5
Manager: Traffic and Access Control in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
2.19.6.2 Access control
2.19.6.2.1 Acess control and relevant systems 2.19.6.2.2 Permission permits 2.19.2.2.3 Students, staff and contractor cards
Record 1: D5
Record 2: D3
Record 3: P on CAS system and Visual Card
Manager: Traffic and Access Control in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
90
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.19.6.3 Key control
2.19.6.3.1 Key register
2.19.6.3.2 Key control forms
2.19.6.3.3 Opening and closing of buildings and swimming pools
Record 1 and 2: D5
Record 3: D1month
Manager: Traffic and Access Control in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
2.19.7 Client service questionnaires D3 Manager: Protection in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
D1
2.19.8 Notices and tasks D1 Administrative Officer in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
No copies kept by other Offices
2.19.9 General complaintes D1 Administrative Officer in the office of the Director: Protection Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
No copies kept by other Offices
2.19.10 Incident register D3 Administrative Officers in respective divisions
No copies kept by other Offices
91
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.20 Museums and collections management
2.20.1 Acquisition
2.20.1.1 Requests for donations D3 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
No copies kept by other Offices
2.20.1.2 Donor agreements P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.1.3 Donor lists P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
No copies kept by other Offices
2.20.1.4 Letter of thanks P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.2 Accession and de-accession
2.20.2.1 Museum items received P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.2.2 Accession forms P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.2.3 Separation forms P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
92
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.20.2.4 Loans P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
No copies kept by other Offices
2.20.2.5 De-accession forms P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
No copies kept by other Offices
2.20.2.6 Donor notifications P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
No copies kept by other Offices
2.20.3 Documentation
2.20.3.1 Authority lists P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
No copies kept by other Offices
2.20.3.2 Cataloguing forms P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.3.3 Donor checklists P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.3.4 Database management P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
93
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.20.4 Maintenance
2.20.4.1 Cleaning control lists D3 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.4.2 Cleaning material lists After update Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.5 Preservation
2.20.5.1 Environmental control forms:
Temp & Humidity control
Air quality tests
Pest Control
D5 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.6 Conservation
2.20.6.1 Restoration of items P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.6.2 Reproduction of items P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.7 Storage
2.20.7.1 Storage plans P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
94
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.20.7.2 Storage inventories P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.7.3 Museum items storage lists D1 after every update Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.7.4 Storage equipment D5 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.7.5 Security D5 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.8 Exhibits
2.20.8.1 Museum plans P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
95
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.20.8.2 Projects:
Planning
Work schedules
Budget
Service providers
Reports
Historical information
Graphic designs & plan
Museum test
Photographs
Museum items
Audio visual displays
P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.8.3 Storage equipment (shelves etc.) P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.8.4 Storage material (cupboards, containers, acid free paper etc.)
P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
96
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.20.9 Outreach
2.20.9.1 Museum day P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.9.2 Outreach programs D3 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.9.3 Communication D3 Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.20.9.4 Webpage A after update Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses
D1
2.21 Image and Digital Curation
2.21.1 Acquisition
2.21.1.1 Acquisition lists P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.1.2 Photographer lists P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.1.3 Photographer agreements P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.2 Accession
97
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.21.2.1 Accession forms P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.2.2 Accession numbers (positives) P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.3 Appraisal and selection
2.21.3.1 Categories P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.4 Arrange and Describe
2.21.4.1 Authority control lists P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.5 Finding aids
2.21.5.1 Inventories P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.5.2 Database management D3 Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.6 Reference services
2.21.6.1 Requests received D3 Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.6.2 Scanning and copying D3 Archivists or curators reporting to the Institutional and Campus Registrars
D1
98
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
2.21.6.3 Statistics P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.7 Preservation
2.21.7.1 Environmental control –
Temperature and RH readings
D5 Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.12.7.2 Digitizing and migration projects P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.8 Storage
2.21.8.1 Storage plan P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.8.2 Storage inventories P in office of origin Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.8.3 Storage equipment D3 Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.21.8.4 Storage material:
Boxes
Files
Pockets etc.
D3 Archivists or curators reporting to the Institutional and Campus Registrars
D1
2.22 Health Care Management D5 Administrative staff dealing with patient records
No copies to be kept by other offices
99
3. HUMAN RESOURCES
User guidelines
This series is used for the management of records relating to Human Resources administration and management. As such, most of the original records will be held by either the relevant staff members in the Human Resources and related HR departments or on the staff file, with only reference copies to be held by the department where the staff member is employed. In cases where staff files are opened in the departments where the staff member is employed, it is mandatory that this copy staff file be sent to HR Operations to be merged with the original staff file in the event of the staff member leaving NWU’s service (either by death, resignation, retirement, etc).
An individual staff file is opened for every permanent/fixed term appointed staff member and is referenced 3C. Please see the note on staff files below. Records relating to temporary appointments are filed in a separate HR: A-Z file (thus temporary records are kept separately in alphabetical order, in what is called an HR: A-Z file).
The job title in brackets in the Office responsible for original column is responsible to ensure that the original record is sent to the HR department for placement on the staff file.
All records placed on the staff file should be referenced by the reference number of the record and the staff number, e.g 3.8.3.2/1234567.
Subseries 1 is used for the management of records related to recruitment and selection. The main record owner is the HR practitioner assisting in the advertising and selection for the position. Case files are opened for each position to be advertised and recruited for. The manager of the position must ensure all relevant documentation reach the HR practitioner. All records in this series are kept in adherence with the Recruitment and Selection Policy (3P/3.1).
Subseries 2 is used for the management of records related to appointments and transfers. All original records form part of the staff file, and as such only reference copies should be kept in the department where the staff member is employed.
Subseries 3 is used for the management of records related to the termination of service. All original records form part of the staff file, and as such only reference copies should be kept in the department where the staff member is employed.
Subseries 4 is used for the administration of personal development and training plans and career planning of individual staff members, and should not be confused with subseries 3.9 used for skills development issues managed by the skills development facilitator. Subseries 9 should be used for training requests and interventions, etc. All records in sub series 3.4 and 4.9 are kept in adherence with the Staff Development Policy (3P/3.4).
Subseries 5 is used for the management of records related to performance management of staff members. Performance agreements are filed in this series and yearly performance agreements should be placed on the staff file. The manager supervising the position is responsible for ensuring signed performance agreements are sent to HR Operations for placement on the staff file. All records in this series are kept in adherence with the Performance Management Policy (3P/3.5).
100
Subseries 6 is used for the management of promotion of academic staff. All records in this series are kept in adherence with the Academic Staff Promotion Policy (3P/3.6).
Subseries 7 is used for the administration of records related to leave issues. All original records form part of the staff file, and as such only reference copies should be kept in the department where the staff member is employed. See the Conditions of Service (3Pr) for leave entitlements.
Subseries 8 is used for the administration of records related to remuneration issues. All original records form part of either the staff file, or are kept as part of the staff records on HR ORACLE system.
Subseries 9 is used for the management of records related to skills development. Records are mainly kept by the skills development facilitator, but in cases of individual training requests and interventions, copies form part of the staff file in order to build a training history for each staff member. All records in this series are kept in adherence with the Staff Development Policy (3P/3.4).
Subseries 10 is used for the management of records related to mentorships and coaching. Records relating to this matter are managed in this series.
Subseries 11 is used for the management of records related to talent management. Currently the subject is being addressed according to the Talent Management Strategy (3Pr/3.11). Records regarding succession planning, Growing our own timber, internships etc are managed in this series .
Subseries 12 is used for the management of records related to organisational development. Records are mostly generated by the Senior HR practitioner dealing with these matters and copies placed on the staff file.
Subseries 13 is used for the management of records related to labour relations. Records are strictly confidential and kept by the Manager: Labour Relations. Only a notice of labour action regarding an employee is placed on the staff file and all the other records (case files) are kept in the office of the Manager: Labour Relations.
Subseries 14 is used for the management of records related to employment equity and capacity building. Records are mainly kept by the Manager: Employment Equity. All records in this series are kept in adherence with the Employment Equity Policy (3P/3.14).
Subseries 15 is used for the management of records related to staff disabilities. Records are mainly kept by the Manager: Employment Equity. All records in this series are kept in adherence with the Disability Policy for Employees (3P/3.15).
Subseries 16 is used for the management of records related to employee benefits such as group life insurance, medical aid, pension fund, etc but excluding leave issues which are managed in subseries 3.7. Records are mainly kept by the Manager: HC Services.
101
Subseries 17 is used for the management of records related to remuneration and includes records on bonuses, remuneration revisions, etc. These records are mainly kept by the Senior HR practitioner. For payroll and remuneration payment administration, see subseries 3.8. All records in this series are kept in adherence with the Remuneration Policy (3P/3.17). Records in this series are strictly confidential.
Subseries 18 is used for the management of records relating to HR ORACLE system administration. Records are kept by the Manager: HC Systems.
Subseries 19 is used for the management of records relating to HR Statistics. Records are kept by the Manager: HC Systems.
Subseries 20 is used for the management of records relating to Employee Health and Wellness. Records in this series are mainly kept by the Manager: Employee Wellness.
Subseries 21 is used for the management of records relating to Employee assessment. Records in this series are mainly kept by the Director: Human Capital Development.
Number Policies
3P
3P/3.1 Recruitment Policy
3P/3.4 Staff Development Policy
3P/3.5 Performance Management Policy
3P/3.6 Academic Staff Promotion Policy
3Pr/3.13 Behavioural Policy
3P/3.14 Employment Equity policy
3P/3.15 Disability Policy for Employees
3P/3.17 Remuneration policy
Disposal of original: A after approval as part of Council records
Office responsible for original: Records Management and Administration
Other offices’ disposal: D after update or revision
102
Number Procedures, manuals, guidelines and strategies
3Pr 3Pr/3 Conditions of service 3Pr/3.1 Recruitment and selection procedure 3Pr/3.1.6 Job description guide 3Pr/3.2.1.3 Probation guidelines 3Pr/3.2.1.2.5 Summary of the Rules of the NWU Pension Fund 3Pr/3.2.1.2.6 Summary of the Rules of the Group Life Scheme 3Pr/3.2.2.5 Internship Programme Guidelines 3Pr/3.2.3.1 Procedure for fixed term appointments of directors in the academe 3Pr/3.2.3.2 Procedure for the appointment of extraordinary staff and honorary professors 3Pr/3.5 Manual for performance management 3Pr/3.6 Procedure for the promotion of academic staff 3Pr/3.6.1 Institutional promotion criteria 3Pr/3.8 Remuneration manual 3Pr/3.8.3 Tariffs for part-time personnel 3Pr/3.8.3.1.1A Remuneration management manual 3Pr/3.8.3.5 Guide to unforeseen additional remuneration payable to NWU employees 3Pr/3.8.3.6 Overtime payment guide 3Pr/3.8.3.7.4 Procedure for payment of school/research director allowance (flow diagram) 3Pr/3.8.3.7.5 Procedure for payment of subject chair/program leader allowance (flow diagram) 3Pr/3.9 Procedure: Skills Development 3Pr/3.9A Guidelines for visits overseas 3Pr/3.9.3 Procedure for staff to attend external/internal short courses 3Pr/3.9.7 Procedure for support staff to study at UNISA 3Pr/3.10 Mentoring guidelines 3Pr/3.11 Talent Management Strategy 3Pr/3.11.1 Employee assessment guidelines 3Pr/3.11.2 Succession planning guidelines 3Pr/3.11.3 Growing our own Timber guidelines
103
Number Policies
3Pr/3.12.1 Job evaluation guide 3Pr/3.12.2 The working the NWU’s structure 3Pr/3.12.2.4 Guide for the creating or assessing of an organisation 3Pr/3.12.2.5 Changing the staff establishment of an organisational entity 3Pr/3.13.1 Disciplinary code and procedure 3Pr/3.13.2 Procedure for the management of incapacity 3Pr/3.13.4 Employee grievance policy and procedure 3Pr/3.13.11 Abscondment procedure 3Pr/3.13.12 Suspension procedure 3Pr/3.13.13 Intoxication procedure 3Pr/3.13.14 Procedure for personal searches of staff 3Pr/3.13.15 Reporting of acts of dishonesty to the SAPS 3Pr/3.13.16 Harassment procedure 3Pr/3.14.3 Guidelines and procedure for the capacity building programme 3Pr/3.17.2.2 Flow diagram of the revision of remuneration process 3Pr/3.17.2.3 Guide for the awarding of a merit bonus 3Pr/3.17.2.3A Flow diagram for awarding a merit bonus 3Pr/3.17.2.4 Guide for the payment of management bonuses 3Pr/3.17.2.4A Flow diagram for the payment of management bonuses 3Pr/3.17.2.5 Top performer bonus scheme 3Pr/3.20.3 Management of Workplace Stress guidelines
Disposal of original: D5 after every update.
Office responsible for original: Manager in HC division/process owner
Other offices’ disposal: D after update and revision.
104
Number Staff files
3C A staff file is numbered 3C/staff number, e.g. 3C/1234567.
Records that should be placed on the staff file are indicated in the “disposal of the original” column. The original record owner (person responsible to generate record from a process) to whom enquiries will be directed should the record not be found on the staff file, is indicated in brackets.
The disposal attached to a staff file is D7 after termination of service.
The original staff file is kept by the HC Operations department in the Institutional Office. Should a copy staff file be kept in the faculty/school/department for operational reasons, this file must be transferred to HC in the Institutional Office when the staff member terminates service.
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.1 Recruitment and selection
In this series records are referenced by the number and the relevant position number, e.g. 3.1.2./IM01234.
The HC consultant opens a case file for every position where recruitment and selection is required, and the records in this series are filed numerically in this case file.
3.1.1 Motivation for the filling of a vacancy and/or creation of a post
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager filling position)
D1
3.1.2 Advertisement for vacant posts
3.1.2.1 Advertisments
3.1.2.2 Schedule
D5 HC practitioner/Snr HC officer
(Manager advertising position)
D1
105
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.1.3 Application statistics
3.1.3.1 Schedules of applications for academic staff D5 Institutional HC practitioner No copies are to be kept by other offices.
3.1.3.2 Name lists of applications for support staff D5 Institutional HC practitioner No copies are to be kept by other offices.
3.1.3.3 Application forms D5 Institutional HC practitioner No copies are to be kept by other offices.
3.1.4 Interviews
3.1.4.1 Arrangements D5 HC practitioner/Snr HC officer No copies are to be kept by other offices.
3.1.4.2 Panel D5 HC practitioner/Snr HC officer No copies to be kept by other offices.
3.1.4.3 Questions (interview structure) D5 HC practitioner/Line manager
(Manager advertising position)
No copies to be kept by other offices.
3.1.4.4 Reference check form D5 HC practitioner/Snr HC officer
(Manager advertising position)
No copies to be kept by other offices.
3.1.4.5 Application to claim travel costs for an interview
D5 HC practitioner/Snr HC officer
(Manager advertising position)
No copies to be kept by other offices.
3.1.5 Unsuccessful applications D5 HC practitioner/Snr HC officer No copies to be kept by other offices.
106
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.1.6 Job description for job evaluation This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Selection panel chair/manager supervising position)
No copies to be kept by other offices.
3.2 Appointments and Transfers
In this series records are referenced by the number and staff number, e.g. 3.2.1/1234567
3.2.1 Permanent/Fixed term
3.2.1.1 Recommendation: Permanent/fixed term appointment
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Selection panel chair/manager supervising position)
No copies to be kept by other offices.
107
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.2.1.2 Appointment documentation (support staff)
3.2.1.2.1 Appointment/transfer letter 3.2.1.2.2 Acceptance letter 3.2.1.2.3 Salary instruction and particulars
of bank account 3.2.1.2.4 PAYE: Personal particulars of
employee 3.2.1.2.5 Pension Fund: nomination of
beneficiaries 3.2.1.2.6 Group Life Scheme – nomination
of beneficiaries 3.2.1.2.7 ABSA – New Member
Information/Change of Member Personal Details
3.2.1.2.8 Declaration of employee 3.2.1.2.9 Medical report 3.2.1.2.10 Update of personal particulars
Appointment documentation (academic staff)
3.2.1.2.1 – 3.2.1.2.9 3.2.1.2.10 Chair appointment 1.3.33.1.3 Invitation to new members –
Convocation 1.3.33.1.2 Convocation / Change of
address form 8.3.2.1 Information form for ICNL 8.3.2.2 Option form: ICNL
Appointment documentation: foreign staff
Includes documentation for either support or academic staff and a work permit, residence permit, copy of passport and ID.
This record forms part of the staff file.
Records pertaining to the Convocation and ICNL do not form part of the staff file and are returned to the original owners.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Part of appointment documentation to be completed)
No copies to be kept by other offices.
108
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.2.1.3 Permanent appointment after probation period (support staff)
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.1.4 Probation review form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.2 Temporary
3.2.2.1 Contract of service: Appointment of temporary staff for periods of one to twelve months
This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
109
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.2.2.2 Appointment of student assistants This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.2.3 Appointment of post graduate assistants This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.2.4 Appointment of facilitators / markers
3.2.2.4.1 CV’s of facilitators / markers
3.2.2.4.2 Supporting documents for CV
3.2.2.4.3 Database
This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.2.5 Appointment of interns This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/Mafikeng Campus HC manager)
No copies to be kept by other offices.
110
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.2.3 Other
3.2.3.1 Appointment of directors in the academe This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Dean/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.3.2 Appointment of extraordinary staff and honorary professors
This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Dean/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.3.3 Move position This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Dean/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.3.4 Appointment of acting manager This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Dean/Mafikeng Campus HC manager)
No copies to be kept by other offices.
111
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.2.3.5 Appointment of subject chairs/programme leaders
This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Dean/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.2.3.6 Personal particulars This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Dean/Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.3 Termination of service
In this series records are referenced by the number and staff number, e.g. 3.3.3/1234567
3.3.1 Service termination form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/ Mafikeng Campus HC manager))
No copies to be kept by other offices.
3.3.2 Termination of service due to incapacity or disciplinary action
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager: Labour Relations)
No copies to be kept by other offices.
112
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.3.3 Notice of death This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position Mafikeng Campus HC manager)
No copies to be kept by other offices.
3.3.4 Exit interviews This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(HC practitioner/Snr HC officer)
No copies to be kept by other offices.
3.3.5 Clearance form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(HC practitioner/Snr HC officer)
No copies to be kept by other offices.
3.3.6 Certificate of service This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(HC practitioner/Snr HC officer)
No copies to be kept by other offices.
113
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.4 Personal development and training
In this series records are referenced by the number and staff number, e.g. 3.4.1.1/1234567
3.4.1 Personal development plan This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
D1
3.4.2 Overseas visits
3.4.2.1 Motivation
3.4.2.2 Report
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
D1
3.5 Performance management
In this series records are referenced by the number and staff number, e.g. 3.5.1.1/1234567
3.5.1 Performance agreement This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Senior HC practitioner in the office of the Director: HC)
D1
114
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.5.2 Cycle and schedule This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Senior HC practitioner in the office of the Director: HC)
D1
3.5.3 Performance review and appraisal This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Senior HC practitioner in the office of the Director: HC)
D1
3.6 Promotion of academic staff
In this series records are referenced by the number and staff number, e.g. 3.6.3.1/1234567
3.6.1 Institutional promotion criteria A Senior HC practitioner reporting to the Director: HC in the office of the Executive Director: Human Capital Development
No copies to be kept by other offices. Other than for reference purposes
3.6.2 Norm profile for the promotion of academic staff
A Senior HC practitioner reporting to the Director: HR in the office of the Executive Director: Human Capital Development
No copies to be kept by other offices. Other than for reference purposes
3.6.3 Applications and supporting documentation
3.6.3.1 Application letter 3.6.3.2 Applicant’s CV 3.6.3.3 Contact particulars of external
referees
D3 Staff member applying for promotion Director to whom application was made: D1
115
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.6.4 Director’s motivation This record forms part of the Faculty management meeting referenced 2.2.2.16
Faculty management secretariat No copies to be kept by other offices.
3.6.5 Confidential referees report This record forms part of the Faculty Management meeting referenced 2.2.2.16
Faculty management secretariat No copies to be kept by other offices.
3.6.6 Promotion documentation
3.6.8.1 Letter 3.6.8.2 Summary report 3.6.8.3 List
This record forms part of the staff file. Record 3 also forms part of the Institutional Management Committee meeting documentation referenced 2.2.2.1
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Record 2: Faculty dean
No copies to be kept by other offices.
3.7 Leave issues
In this series records are referenced by the number and staff number, e.g. 3.7.1/1234567
3.7.1 Leave form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position)
D1
3.7.2 Application for cancellation This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position)
D1
116
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.7.3 Overtime leave permissions This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position)
D1
3.8 Remuneration administration
3.8.1 Statutory tax payments
3.8.1.1 PAYE 3.8.1.2 IRP5 3.8.1.3 Unemployment Insurance Fund:
declaration 3.8.1.4 Unemployment Insurance Fund:
UI-19 3.8.1.5 Skills Development Levy 3.8.1.6 Workmen’s Compensation Fund
P on Oracle HC system.
Record 3.8.1.4 forms part of the staff file.
Payroll officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2 Salary payments
In this series records are referenced by the number and staff number, e.g. 3.8.2.2/123456
3.8.2.1 Salary slips P on Oracle HC system. Payroll officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Staff member may keep payslip as long as required.
117
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.8.2.2 Deduction permission
3.8.2.2.1 Class fees 3.8.2.2.2 General deduction order
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.3 Miscellaneous loans This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.4 Advances This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.5 Garnishee orders This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.6 Salary instruction and details of bank account of current staff members
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.7 Claim form for the remittance of travelling costs
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
118
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.8.2.8 Balancing and controls This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.9 Payments This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.10 Quality controls This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.11 Billing of medical aids DAU5 Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.2.12 Reports
• Third Parties • Discoverer
D3 Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
119
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.8.2.13 Cash Focus DAU5 Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.3 Other types of remuneration
In this series records are referenced by the number and staff number, e.g. 3.8.3.2/1234567.
Should payments be made to a non-staff member, records are referenced by number and surname and initials of recipient, e.g 3.8.3.1.1/Mokoena, S
3.8.3.1 Claim form for ad hoc remuneration This record forms part of the HC: A-Z file.
Salary officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
D6 months
3.8.3.2 Claim form for temporary staff from one to twelve months
This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/Mafikeng Campus HC manager)
D1
3.8.3.3 Claim form for student assistants This record forms part of the HC: A-Z file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/Mafikeng Campus HC manager)
D1
120
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.8.3.4 Examiners honorarium
3.8.3.4.1 Tarrifs 3.8.3.4.2 Claim form
This record forms part of the HC: A-Z file.
Salary officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
D6 months
3.8.3.5 Unforeseen additional remuneration to university staff
This record forms part of the staff file for permanent positions and the HC: A-Z file for temporary positions.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising activity/ Mafikeng Campus HC manager)
D1
3.8.3.6 Claims for overtime/Sunday time and standby
This record forms part of the staff file for permanent positions and the HC: A-Z file for temporary positions.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager supervising position/ Mafikeng Campus HC manager)
D1
121
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.8.3.7 Allowances
3.8.3.7.1 Amounts payable 3.8.3.7.2 Letters 3.8.3.7.3 Acting 3.8.3.7.4 School/Research Director 3.8.3.7.5 Subject Chair/Programme leader 3.8.3.7.6 Projects 3.8.3.7.7 Facilitators / Field workers
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.3.8 Long service awards This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.8.3.9 Permission to conduct work for foreign students
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.9 Skills development
3.9.1 Combined Training Timetable A after completion Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
D1
122
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.9.2 Needs analysis D5 according to Skills Development Act.
Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.9.3 Application for internal training
A case file is opened for each intervention and referenced by number and abbreviation for intervention. A case file can contain:
o Training request/correspondence o Facilitator information o Facilitator payments o Registrations o Course arrangements o Course material o Attendance lists o Course evaluations o Assessment documentation
D5 according to Skills Development Act.
Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
D1
3.9.4 Leadership Academy
3.9.4.1 Source records
3.9.4.2 Yearly presentations
A case file is opened for each presentation and referenced by number and date of presentation. A case file can contain:
o Outcomes o Trainer CV’s/information o Trainer payments o Course material o Attendance lists o Course evaluations
D5 according to Skills Development Act.
Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
Course attendees, who have material of the course, can keep the material for as long as they wish.
123
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.9.5 Introduction programme for newly appointed staff members
3.9.5.1 Checklist for line manager/supervisor
3.9.5.2 New employee acknowledgement form
Proof printed from the system that the new staff member did the programme forms part of the staff file.
Other records regarding the introduction programme: D5 according to the Skills Development Act.
Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
Course attendees, who have material of the course, can keep the material for as long as they wish.
3.9.6 Skills fund applications
3.9.6.1 Applications for expenditure from the skills development fund
Applications are referenced as received by date, e.g. 3.9.6.1/30-Jun-09
D3 Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
D1
3.9.6.2 Letter of outcome This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
D1
3.9.6.3 Proof of attendance of training intervention This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator and the staff member who attended training)
No copies to be kept by other offices.
Course attendees, who have material of the course, can keep the material for as long as they wish.
124
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.9.7 Studies at UNISA
In this series records are referenced by the number and staff number, e.g. 3.9.7.2/1234567
3.9.7.1 Application for staff study assistance This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
D1
3.9.7.2 Letter of outcome This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
D1
3.9.7.3 Study assistance agreement This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
No copies to be kept by other offices.
3.9.8 SETA matters
3.9.8.1 Discretionary funding
The records in this subseries are filed as case files per training programme, and referenced 3.9.8.1C
3.9.8.1.1 Notice of available training interventions D5 according to Skills Development Act.
Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
125
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.9.8.1.2 Applications forms D5 according to Skills Development Act.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
No copies to be kept by other offices.
3.9.8.1.3 Contracts This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Skills development facilitator)
No copies to be kept by other offices.
3.9.8.1.4 Correspondence with SETA D5 according to Skills Development Act.
Skills development facilitator in the office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.10 Mentorships and Coaching
3.10.1 Mentor application form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HR practitioner in HC)
D1
3.10.2 Mentee application form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
126
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.10.3 Mentoring agreement This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.11 Talent management
3.11.1 Employee assessment This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.11.2 Succession planning
3.11.2.1 Nomination form
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.11.3 Growing our own Timber This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.11.4 Internships This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
127
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.12 Organisational development
3.12.1 Position management
3.12.1.1 Applications This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.12.1.2 Evaluation documentation (peromnes score sheets)
P on Remeasure Online System
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
No copies to be kept by other offices.
3.12.1.3 Letter of outcome This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.12.1.4 Appeals This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
D1
3.12.1.5 Letter of upgrading of position and salary adjustment
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Senior HC practitioner in HC)
No copies to be kept by other offices.
128
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.12.2 Organisational entity management
3.12.2.1 Correspondence D3 Senior HC practitioner in the Office of the Director: OLD reporting to the Executive Director: Human Capital Development (Manager requesting changes)
D1
3.12.2.2 Oracle system administration notices D3 Senior HC practitioner in the Office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.12.2.3 Organograms D5
Hard copies
Systems administrator in HC: Operations reporting to the Executive Director: Human Capital Development
D after organigram has been revised.
3.12.2.4 Request for organisation restructuring D5
Hard copies
Systems administrator in HC: Operations reporting to the Executive Director: Human Capital Development
D after approval
3.12.2.5 Changing the staff establishment of an organisational entity
A Systems administrator in HC: Operations reporting to the Executive Director: Human Capital Development
D after approval
3.12.3 Climate and culture evaluation
3.12.3.1 Data gathering Micro Isis – What Works system.
Senior HC practitioner in the Office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
129
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.12.3.2 Reports Micro Isis – What Works system.
A
Senior HC practitioner in the Office of the Director: HC reporting to the Executive Director: Human Capital Development
D1
3.12.3.3 Issues management D5 Senior HC practitioner in the Office of the Director: HC reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13 Labour relations (please see note in the User Guidelines for subseries 13)
3.13.1 Discipline
3.13.1.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.1.2 Departmental hearings
Dealt with as case files and referenced. 3.13.12C/NWU case number
• Notice • Charge sheet
Not guilty: D immediately after hearing.
Guilty: D after validity period expired.
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.1.3 University hearings
Dealt with as case files and referenced 3.13.1.3C/NWU case number
• Notice • Charge sheet • Result letter
Not guilty: D immediately after hearing.
Guilty: D5
Records are kept in hard copy
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
130
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.13.2 Incapacity
3.13.2.1 Poor work performance
3.13.2.1.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.2.1.2 Case files
Referenced 3.13.2.1.2/NWU case number
D5 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.2.1.3 Performance improvement plan This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager: Labour Relations)
No copies to be kept by other offices.
3.13.2.1.4 Performance improvement plan review This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager: Labour Relations)
No copies to be kept by other offices.
131
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.13.2.2 Incompatibility
3.13.2.2.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.2.2.2 Case files
Referenced 3.13.2.2.2/NWU case number
D5 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.2.3 Ill health and injury
3.13.2.3.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.2.3.2 Case files
Referenced 3.13.2.3.2/NWU case number
D5 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.3 Retrenchments
3.13.3.1 Correspondence/meetings D3 after completion of section 189 process.
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
132
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.13.3.2 Letter This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Manager: Labour Relations)
No copies to be kept by other offices.
3.13.3.3 Salary package calculations D3 after completion of section 189 process.
Manager: Staff budget and HC System in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.4 Grievances
3.13.4.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.4.2 Case files
Referenced 3.13.4.2/NWU case number
D5 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.5 CCMA cases
3.13.5.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.5.2 Case files
Referenced 3.13.5.2/CCMA case number
D5 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
133
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.13.6 Labour Court cases
3.13.6.1 Register P in responsible office. Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.6.2 Case files
Referenced 3.13.6.2/Labour court case number
D5 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.7 Labour agreements
3.13.7.1 Recognition agreements
Referenced 3.13.7.1 /union name
A immediately after conclusion of agreement.
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.7.2 Individual agreements
Referenced 3.13.7.2/staff number
D3 after completion of agreement date/terms.
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.8 Opinions and reports
Referenced 3.13.8/org structure, eg 3.7.7/I-RMA
D1 Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.13.9 Union administration
Referenced 3.13.9/name of union, e.g. 3.13.9/SAPTU
D1
Hard copy
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
D1
SERIES CLOSED
134
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.13.10 System administration and reports P on system (LABOURPRO)
Manager: Labour Relations in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.14 Employment Equity
3.14.1 Reports
3.14.1.1 Profile 3.14.1.2 Appointments 3.14.1.3 Terminations 3.14.1.4 Vacancies 3.14.1.5 Retirements
D5 EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development
D1
3.14.2 Monitoring
3.14.2.1 Monthly targets
3.14.2.2 Progress reports
D5 according to Employment Equity Act.
EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.14.3 Capacity building (For records of the Capacity building fund committee, please use 2.2.2.29)
3.14.3.1 Appointment in a capacity building position
(process to be followed, see 3.1)
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (EE manager)
No copies to be kept by other offices.
3.14.3.2 Approval
(included in minutes, see 2.2.2.29)
A as part of the minutes of the Capacity Building Fund Committee
Secretariat of the Capacity Building Fund Committee
D1
SERIES CLOSED
135
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.14.3.3 Individual development plan
(see 3.4)
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (EE manager)
No copies to be kept by other offices.
3.14.3.5 Monitoring of budget expenditure D5 Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.14.3.6 Correspondence D5 EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development
D1
3.15 Disability management
3.15.1 Registration of disabled person (EEA1) This record forms part of the staff file.
EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development (Staff member requiting assistance)
No copies to be kept by other offices.
3.15.2 Application for assistance (including correspondence and support documents)
This record forms part of the staff file.
EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development (Staff member requiting assistance)
No copies to be kept by other offices.
136
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.15.3 Approval/Non-approval This record forms part of the staff file.
EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development (Staff member requiting assistance)
No copies to be kept by other offices.
3.15.4 Contract of assistance This record forms part of the staff file
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (EE manager)
No copies to be kept by other offices.
3.15.5 Reports D5 EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.15.6 Correspondence D5 EE manager in the office of the Director: Equity, Diversity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16 Employee benefits management
3.16.1 Pension and provident funds
3.16.1.1 Pension and provident fund rules and agreements
P in office of origin. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
137
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.16.1.2 Nomination of benefits form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Staff member)
No copies to be kept by other offices.
3.16.1.3 Pension and provident fund monthly contributions reports
P on Oracle HC System. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16.1.4 Individual benefit statement request This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Staff member)
No copies to be kept by other offices.
3.16.2 Medical aid
3.16.2.1 Agreements P in office of origin. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16.2.2 Rules P in office of origin. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16.2.3 Application/adding/cancellation of member on medical aid
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Payroll)
No copies to be kept by other offices.
138
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.16.2.4 Medical aid monthly contribution reports P on Oracle HC System. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16.3 Group life insurance
3.16.3.1 Agreements P in office of origin. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16.3.2 Rules P in office of origin. Manager: HC Services in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.16.3.3 Option choices/changes form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Payroll)
No copies to be kept by other offices.
3.16.4 Staff discount
3.16.4.1 Application form D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
D1
139
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.16.4.2 Evaluation D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
No copies to be kept by other offices.
3.16.4.3 Letter of outcome D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
No copies to be kept by other offices.
3.16.4.4 Rejections D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
No copies to be kept by other offices.
3.17 Remuneration management
3.17.1 Key scales Forms part of the Institutional Management Committee meeting records referenced 2.2.2.1
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
D1
3.17.2 Individual remuneration review process
3.17.2.1 Recommendation: Revision of remuneration
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
D1
140
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.17.2.2 Letter of outcome of remuneration review This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
D1
3.17.3 Bonus Management
3.17.3.1 Awarding and payment of merit bonus This record forms part of the staff file.
Copies are kept in the office of Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
D1
3.17.3.2 Incentive bonus This record forms part of the staff file.
Copies are kept in the office of Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
D1
141
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.17.3.3 Management and Top performer bonuses
A case file is opened and contains the following records:
3.17.3.3.1 Minutes
3.17.3.3.2 Process
Record 1: A1
Record 2: D2
Remuneration Specialist in the Office of the Director: Remuneration and Organisational Development reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.17.3.4 Letters informing staff member of top performer bonus
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.18 System administration
3.18.1 BR100 D3 Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.18.2 Manuals
o Oracle Navigation o HC Employee Management o HC System Administrator o HC Payroll o Leave o Budget
P in office of origin. Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
Working copies to be kept by offices until updated.
3.18.3 System requests/integrations/errors
3.18.3.1 Request form
3.18.3.2 Reports
D3 Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
142
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.18.4 Oracle Registration D3 Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.18.5 HCOR Registration D3 Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.19 Statistics
3.19.1 SA Stats reports D3 Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.19.2 Staff figures D3 Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
D1
3.19.3 Ad hoc requests involving staff statistics
Referenced 3.19.3/name of department listing enquiry e.g. 3.19.3./I-RMA
D5
Kept on ROD network drive4
Manager: HC systems in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
D1
143
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.20 Employee Health and Wellness
3.20.1 Wellness programme management
3.20.1.1 Assessment of effectiveness P in office of origin. Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
D6 months
3.20.1.2 Benchmarking D3 Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
D6 months
3.20.1.3 Confidentiality declaration for employees of Employee Health and Wellness
This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Staff member)
No copies to be kept by other offices.
3.20.1.4 Event manager P on system Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.20.1.5 Feedback D3 Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
SERIES CLOSED
SERIES CLOSED
144
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.20.1.6 Interactive wellness system on the intranet P on system. Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.20.1.7 Oracle training manuals P in office of origin. Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
No copies to be kept by other offices.
3.20.1.8 Surveys, assessments and needs analysis D3 Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
D6 months after contributions
3.20.1.9 Wellness book Master copy: A
Individual’s copies: own preference
Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development Individual wellness books are to be kept by the staff members
No copies to be kept by other offices.
3.20.1.10 Year programme (brochures and calendars) A Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
D1
SERIES CLOSED
SERIES CLOSED
SERIES CLOSED
145
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.20.2 Projects and initiatives
3.20.2.1 Education
Are dealt with as case files and referenced 3.20.2.1C/name of project, e.g. 3.20.2.1C/team building
Some records in the case files have archival value, whilst others can be D1. The record owner will clarify with archivist.
Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
Copies should not be kept by any office except Manager: Employee Wellness
3.20.2.2 Health and Wellness
Are dealt with as case files and referenced 3.20.2.2C/name of project, e.g. 3.20.2.2C/health days
Some records in the case files have archival value, whilst others can be D1. The record owner will clarify with archivist.
Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
Copies should not be kept by any office except Manager: Employee Wellness
3.20.2.3 Work-life balance
Are dealt with as case files and referenced 3.20.2.3C/name of intervention, e.g. 3.20.2.3C/day care
Some records in the case files have permanent value for the office of origin, whilst others can be D3. The record owner will decide on disposal.
Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
Copies should not be kept by any office except Manager: Employee Wellness
3.20.2.4
Workplace stress management
Some records in the case files have permanent value for the office of origin, whilst others can be D3. The record owner will decide on disposal.
Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
Copies should not be kept by any office except Manager: Employee Wellness
3.20.2.5 HEAIDS Global Funding
Are dealt with as case files and referenced 3.20.2.5C/name of project e.g.3.20.2.5Masculity project
DAU5 Manager: Employee Wellness in the office of the Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development
Copies should not be kept by any office except Manager: Employee Wellness
146
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
3.21 Employee assessment
3.21.1 Statement of understanding This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Staff member)
No copies to be kept by other offices.
3.21.2 Employee referral form This record forms part of the staff file.
Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development
(Staff member)
No copies to be kept by other offices.
147
4. FINANCE
User guidelines
This series is used for the management of records relating to financial administration, systems and reporting, budgeting, money market and bursaries and loans. All records in this series are kept in adherence with the Financial Policy and Rules (4P) together with the appropriate procedures.
Classification and filing All original financial records and supporting documentation are kept with the originator of the transaction. The supporting financial documentation (e.g. invoices, quotations, etc) for expenditures is no longer sent to Financial Administration for safekeeping and filing.
The original supporting documentation for the KFS transaction must be kept in safe and secure storage. The safekeeping of the original supporting documentation remains the responsibility of the originator of the financial transaction until the documentation can be legally destroyed.
The filing of these documents (invoices, quotations, etc) can be arranged in the file according to the preferences of the person responsible for the transaction (according to date, supplier, type of transaction, object code, etc). Please keep to one method of filing.
Disposal All original financial records that are processed through KFS as part of the “notes and attachments” tab (i.e. scanned in and sent as part of the e-doc) must be retained (kept) for 3 (three) months after the transaction has gone through on KFS.
The following original documentation is excluded from the requirements of this guideline and must still be retained for 5 years after the audit:
(a) The original Legal Contracts as a supporting document for repeatedly financial transactions must be sent to the Legal Department for safekeeping. An electronic copy must also be forwarded to the Finance Department by email for reference purposes in electronic payments.
(b) Original supporting documentation needed for reporting purposes to the National Research Fund in respect of research funding, Department of Higher Education and Training in respect of grants, or any other reporting that must be supported by original documentation.
The procedure for the destruction of records of the NWU must be followed when destroying original documentation. This procedure is available on the intranet. Records Management and Administration can be contacted for assistance.
All destructions are recorded in the Destruction Register of the NWU. Destroying original financial documentation without an authority number that is recorded in the destruction register of the NWU, is illegal and may lead to disciplinary action.
Financial documentation is not archived and should not be sent to the NWU Archives and Museum for permanent preservation.
148
NOTE:
Subseries 1 is used for records related to income management. Income related records include student accounts, cashiers and bank deposits, debt collection, diverse debtors, donations, and income received from guest accommodation and the Varsité Vending system.
Subseries 2 is used for the management of records related to expenditure management. The main record owner is the Manager of the Department Financial Administration, but record creators should take note of the important NOTE above. Expenditure related records include procurement records, sundry and advance payments and creditor payments. Records in this series are kept in adherence with amongst others, the Procurement Policy (4P/4.2.1) and the GAAP rules.
Subseries 3 is used for the management of records related to the asset management. All original records are kept by the Accountant: Assets and Insurance.
Subseries 4 is used for insurance management. All original records are kept by the Accountant: Assets and Insurance.
Subseries 5 is used for the management of records related to investments and cash flow management. All original records are kept by the Manager: Money Market.
Subseries 6 is used for the records relating to financial reporting. This includes all financial statements and reports. Managers in faculties and support departments may also use this series
for their faculty’s or support department’s financial reports.
Subseries 7 is used for records relating to system administration. These records include security documentation for the system and various application forms for Oracle transactions. The original records are kept by Financial Reporting and Systems Management and copies can be kept by applicants.
Subseries 8 is used for records relating to system management. These records include system manuals and documents. The original records are kept by Financial Administration: Systems and Reporting and copies can be kept by users.
Subseries 9 is used for records relating to budget management. The original records are kept permanently on the Oracle Finance System and the records owner is the Senior Accountant: Management Accounting Services.
Subseries 10 is used for bursaries management. The main record owner is Financial Support Services.
Subseries 11 is used for Varsite Vending System Management. The main record owner is Manager: Catering Services.
149
Number Policies
4P
4P Financial policy and rules 4P/4 Policy on delegations and schedule of Authorisation Levels 4P/4.2.1 Procurement policy
Disposal of original: A after approval as part of Council records (1.3.1)
Office responsible for original: Records Management and Administration.
Other offices’ disposal: D after update or revision.
Number Procedures, manuals, guidelines and strategies
4Pr 4Pr Guidelines and controls for financial transactions and extending the financial policy
4Pr/4.1.3 Fees payable booklet and financial rules
4Pr/4.2A Procedure for Year-end functions
4Pr/4.2B Guidelines on subsistence and travelling
4Pr/4.2C Procedure for subsistence and travelling
4Pr/4.2D Procedure for purchase of Office furniture
4Pr/4.4 Procedure on insurance claims
All other procedures and training material are available on the KFS website at http://www.nwu.ac.za/kfs
Disposal of original: D5 after every update.
Office responsible for original: Manager in specific division/process owner.
Other offices’ disposal: D after update or revision.
150
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1 Income management
4.1.1 List of deposit bank accounts DAU5 Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.2 Confirmation of bank particulars DAU5 Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.3 Student accounts administration
4.1.3.1 Student accounts DAU5
Kept electronically on VSS-STG
Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.3.2 Reconciliations
• Monthly statements • Journals
DAU5 Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
151
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.3.3 Application for refund of credit balance on student account
DAU5 Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.3.4 Cost estimation of study costs / quotations D3
Kept electronically on departmental shared drive according to student number
Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.3.5 Credit and debit notes DAU5
Kept in hard copy according to date.
Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.3.6 Debit notes DAU5 Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
SERIES CLOSED
152
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.3.7 Bad debt DAU5 Head: Student accounts in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.4 Diverse debtors administration
4.1.4.1 Invoices DAU5
Kept electronically on KFS according to series numbers
Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.4.2 Reconciliations DAU5 Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.4.3 Debtors accounts DAU5
Kept electronically on KFS.
Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
153
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.4.4 Credit notes DAU5
Credit note and accompanying e-mail kept electronically on KFS.
Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.4.5 Receipts DAU5
Kept electronically on VSS-REC
Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.4.6 Reports DAU5 Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.4.6 Bad debt DAU5 Head: Sundry debtors in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
SERIES CLOSED
154
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.5 Cashiers administration
4.1.5.1 Receipts
o Cash o Cheques o Postal orders o Debit and credit card o Direct bank payments
DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.5.2 Suspense accounts DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.5.3 Reconciliations DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.5.4 Reversals DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
SERIES CLOSED
155
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.5.5 Cashiers reports DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.5.6 Corrections DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.5.7 Receipt report DAU5 Head: Cashiers and Bank Receivable in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.6 Debt collection administration
Includes the administration of the following types of debt:
o University loans o Student accounts financed by bursaries and loans from external institutions o Graduations o Edu-Loan, Mitanoya, Persal and OLG
SERIES CLOSED
156
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.6.1 Agreements for settlement DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.6.2 Reconciliations DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.6.3 List of accounts handed to attorneys DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.6.4 Postponements for bursaries and loans DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
157
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.6.5 Degree ceremonies DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.6.6
Debt counselling DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.6.7 Diverse debtor collections DAU5 Head: Collections in the office of the Head of Department and Senior Accountant reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses and the Director: Finance on the Mafikeng Campus
No copies to be kept by other offices.
4.1.7 Donations/awards
4.1.7.1 Tax exemption certificates DAU5 Financial officer in Department Marketing and Communication on the campuses
No copies to be kept by other offices.
158
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.8 Guest accommodation income administration
4.1.8.1 Invoices DAU5
Kept electronically in KFS
Manager: Guest accommodation in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.8.2 Payments received DAU5 Manager: Guest accommodation in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.8.3 Reconciliations DAU5 Manager: Guest accommodation in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.9 Varsité Vending income administration
4.1.9.1 Meal deposits reconciliations DAU5 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.9.2 Bank deposits DAU5 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
159
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.1.9.3 Cash-up reports DAU5 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.9.4 Daily sales reports DAU5 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.9.5 Credit card slips DAU5 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.9.6 Safe balancing DAU5 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
4.1.10 Inter departmental income
Referenced by number and authority abbreviation of department, e.g. 4.1.11/I-RMA
Electronic records: P on KFS.
Hard copy records: DAU5
Department that receives the income No copies to be kept by other offices.
160
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.2 Expenditure management
4.2.1 Negotiation and Procurement
4.2.1.1 Supply contracts D5 after expiry of contract Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
Copy is to be sent to Legal Services
4.2.1.2 Supplier credit application DAU5 Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.2.1.3 PURCO correspondence DAU5 Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.2.1.4 Tender documentation Sent to storage after 3 years.
D5 after expiration
Tender owner No copies to be kept by other offices.
4.2.1.5 Application for new creditors D3 Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
161
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.2.1.6 Creditor reconciliations DAU5
Kept in hard copies.
Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.2.1.7 Change of details of supplier P on KFS. Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.2.2 Operating expenditure administration
4.2.2.1 Quotations Kept electronically in KFS Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.2.2 Requisition Kept electronically in KFS Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
162
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.2.2.3 Purchase orders Kept electronically in KFS Senior Procurement Officer in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.2.4 Goods received note Kept electronically in KFS Senior Accountant: Creditors in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.2.5 Supplier invoices/delivery note Kept electronically in KFS Senior Accountant: Creditors in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.3 Sundry/ad hoc payments of expenditure administration
4.2.3.1 Payment requisition and proof documents Kept electronically in KFS Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
163
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.2.3.2 Proof of electronic payments Kept electronically in KFS Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.3.3 IRP5 schedule Kept electronically in KFS Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.3.4 Overseas travel budget form Kept electronically in KFS Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.3.5 Application/Amendment for monthly cellphone and/or 3G allowances
DAU5
Hard copies.
Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
164
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.2.3.6 Claim form for travel DAU5
Hard copies
Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.3.7 Travel insurance form (Diners Club) DAU5
Hard copies
Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.2.4 Vehicle hire
4.2.4.1 Application form
4.2.4.2 Hire tariffs
4.2.4.3 Damage check sheets
Hard copy records: DAU5
Electronic records: P on KFS
Senior Accountant: Creditors and Bank Accounts in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1 (please see note in the Finance main series’ user guidelines)
4.3 Asset management
4.3.1 Asset register P on KFS. Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
165
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.3.2 Obsolete assets
4.3.2.1 Re-application
4.3.2.2 Scrapping
4.3.2.3 Tenders
Hard copy correspondence/tenders: D3.
P on KFS.
Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.3.3 Physical survey of assets (inventory) Hard copy correspondence: D3.
P on KFS.
Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.3.4 Stores administration
4.3.4.1 Stock taking
4.3.4.2 Balancing
4.3.4.3 Pick slips
D3 Manager at stores No copies to be kept by other offices.
4.4 Insurance management
4.4.1 Insurance portfolio DAU5 Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
166
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.4.2 Reporting
4.4.2.1 Written report of damage or loss of asset
4.4.2.2 Claim form
Hard copy to be sent to the Insurance Section and Protection Services: DAU5
Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
D1
4.4.3 Insurance claims: individual files DAU5 Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.4.4 TERISA (Insurance consortium) D3 Accountant: Assets and Insurance in the office of the Manager: Financial Administration reporting to the Director Finance reporting to Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5 Investment and cash flow management
4.5.1 Investment administration
4.5.1.1 Investment services
Referenced 4.5.1.1C/name of Bank, e.g. 4.5.1.1C/Nedbank
The case file contains the following documentation
o Statements o Transaction letters o Reconciliations o Journal evidence o Correspondence
D5 after end of investment Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
167
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.5.1.2 Special projects
Referenced 4.5.1.2/name of project, e.g. 4.5.1.2/PAAM
D5 after end of project Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5.1.3 Investment portfolio administration
4.5.1.3.1 Portfolio
4.5.1.3.2 Summaries
4.5.1.3.3 Estimations
4.5.1.3.4 Limits for investments
4.5.1.3.5 Actuarial measuring
4.5.1.3.6 Audit reports
DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5.2 Cash flow administration
4.5.2.1 Bank reconciliations DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5.2.2 Interest calculations DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5.2.3 Inflation database DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5.2.4 Interest and discharging DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.5.2.5 Capitalisation DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
168
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.6 Reporting
4.6.1 Quarterly reports P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.6.2 Year-end reports P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.6.3 Final financial statements for the year ended
A
(also part of Annual Report submitted to the DoHET 1.6.2 and of the Council committee records (1.3.1)
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.6.4 Correction journals P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilitie
s
No copies to be kept by other offices.
169
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.7 KFS System administration
4.7.1 General ledger structure (cost centres and activities)
4.7.1.1 Application for cost centre
4.7.1.2 Application for new activity
P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.7.2 Overdraft facilities awarded
4.7.2.1 Application forms
P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.7.3 Security accesses
4.7.3.1 Oracle registration form
P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.7.4 Department cards
4.7.4.1 Applications
P on KFS.
Hard copies: D5
Director: Protection Services reporting to the Chief Director: Finance and Facilities
D1
4.7.5 Create transactions
4.7.5.1 Journal form
4.7.5.2 Overpayment to staff development
P on KFS.
Hard copies: D5
Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
170
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.8 KFS Financial System Management
4.8.1 Manuals
o VAT
o Journal requirements
o The interim guidelines for financial transactions
o Primary user training
o Summary report
o Detail reports
o Excel reports (Summary and Detail)
o Oracle Help and Support Model
o Account Guidelines
D3 after update. Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.8.2 Requests and error reports P on Remedy system. Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
4.8.3 System documents D3 after update. Director: Financial Reporting and System Management reporting to the Chief Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
171
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.9 Budget management and assistance
4.9.1 Budget control
4.9.1.1 Training
4.9.1.1.1 Planning
4.9.1.1.2 Documentation
4.9.1.1.3 Attendance registers
D3 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.9.1.2 Yearly budgeting process
4.9.1.2.1 Planning
4.9.1.2.2 Budget pro-formas
4.9.1.2.3 Salary schedules
4.9.1.2.4 Budget committee notes
4.9.1.2.5 First round submissions
4.9.1.2.6 Second round submissions
4.9.1.2.7 Final budget
D3 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.9.1.3 Budget
4.9.1.3.1 NWU budget
4.9.1.3.2 Working copies
Records 1 is archived as part of the Council records (1.3.1)
Record 2: D3
Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.9.1.4 Budget journals
Journals are filed per campus, per year, e.g. 4.9.1.4/V-2009
DAU5 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
172
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.9.1.5 Staff budget controls
4.9.1.5.1 Journals with relevant correspondence
4.9.1.5.2 Reconciliations between HC and GL
4.9.1.5.3 Staff cost correspondence
Record 1-2: DAU5
Record 3: D3
Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other departments
4.9.2 Budget management
4.9.2.1 Variance reports
Data and variance report are filed per month, e.g 4.9.2.1/-Feb2009
DAU5 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other departments
4.9.2.2 Spending against reserves DAU5 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other departments
4.9.3 Project closing
4.9.3.1 Journals
Journals are filed per campus, per project or year, e.g. 4.9.3.1/V-2009
DAU5 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.9.3.2 Database P on excel database Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
No copies to be kept by other departments
173
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.9.4 Assistance
4.9.4.1 Division of subsidy and class fees DAU5 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.9.4.2 Ad hoc requests
Requests are filed per campus, per year, e.g. 4.9.4.2/P-2009
D3 Senior Accountant: Management Accounting Services in the office of the Director: Finance reporting to the Executive Director: Finance and Facilities
D1
4.10 Bursaries administration
4.10.1 Documentation database
Instant info and application form are referenced by number and name of info or application form and year, e.g. 4.10.1/Undergraduate bursaries-2009
D3 after new update. Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus.
Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
174
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.10.2 Regulations
4.10.2/NSFAS 4.10.2/NSFAS-DE 4.10.2/NSFAS-DET (Teachers) 4.10.2 /NSFAS- DE disabilities 4.10.2/NSFAS-National scarce skills 4.10.2/NSFAS-SOC DEV bursaries 4.10.2/NSFAS-Agriculture 4.10.2/NSFAS-Eastern Cape scholarships 4.10.2/NSFAS-Funza Lushaka 4.10.2/NSFAS-Nedbank
D3 after expiration of regulation.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus.
Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.3 Undergraduate bursaries administration
4.10.3.1 University funded 4.10.3.2 Trust Fund 4.10.3.3 Provincial government 4.10.3.4 Independent bursars 4.10.3.5 Meals
Referenced by number/name of Bursary, e.g. 4.10.3.1C/distance
The case file can contain the following documentation
o Application form o Student request form o Evaluation o Payments o Correspondence o ID document o Proof of income o Affidavit
P on SBL programme.
DAU5: Hard copies
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus.
Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
175
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.10.4 Undergraduate bursaries reporting
4.10.4.1 Evaluate bursary: test run 4.10.4.2 Evaluate bursary 4.10.4.3 Bursary final allocation 4.10.4.4 Bursary payment
Referenced by number/name of Bursary, e.g. 4.10.4.3/Girl guides
P on SBL programme.
DAU5: Hard copies
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus.
Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.5 Post-graduate bursaries administration
4.10.5.1 Correspondence 4.10.5.2 Administration Mafikeng 4.10.5.3 Administration Potchefstroom 4.10.5.4 Administration Vaal Triangle 4.10.5.5 Payments Reconciliation 4.10.5.6 Recovery 4.10.5.7 Merits 4.10.5.8 Committee 4.10.5.9C Applications 4.10.5.9.1 Honours 4.10.5.9.2 Masters 4.10.5.9.3 Masters Renewal 4.10.5.9.4 Doctoral 4.10.5.9.5 Doctoral Renewal 1
P on SBL programme.
DAU5: Hard copies.
Each application is a case file and can contain the following records: o Application form o Academic record o ID-document/Passport o Registration certificate o Progress report o Evaluation o Opening registration
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus.
Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
176
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.10.6 NSFAS administration
Referenced 4.10.6C/name of type of NSFAS bursary/student number, e.g. 4.10.6C/Funza/1234567
The case file can contain the following documentation
o Application form o Quotation o Confirmation from NSFAS o Payment o Means test
P on SBL programme.
DAU5: Hard copies.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.6.1 Appeals register P on SBL programme.
DAU5: Hard copies.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.6.2 Book accounts per institution DAU5: Hard copies Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
177
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.10.6.3 Private lease DAU5: Hard copies Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.7 External bursaries administration
A case file is opened for each institution and referenced by number and name of institution,4.10.7.C/name of institution
The case file can contain the following documentation
o Application form
o Student request form
o Evaluation
o Payments
o Correspondence
o ID document
o Proof of income
o Affidavit
o Remittance advice
o GL report payment report
P on SBL programme.
DAU5: Hard copies.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
178
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.10.7.1 Requisitions proof of payment
A case file is opened and can contain the following records:
o Requisition
o GL report
o Payment report
P on SBL programme.
DAU5: Hard copies.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.7.2 Payment reconciliation P on SBL programme.
DAU5: Hard copies.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.7.3 Unclaimed funds P on SBL programme.
DAU5: Hard copies.
Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
179
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
4.10.8 Statistics D5 Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.10.9 Reconciliation of bank account DAU5 Bursaries officer in the office of the Director: Finance reporting to the Campus Rector on the Mafikeng Campus. Manager: Financial Support Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Head: Finance and Operations reporting to the Chief Director: Finance and Facilities at the Vaal Triangle Campuses
No copies to be kept by other offices.
4.11 Varsité vending system management and administration
P on system. Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
180
5. FACILITIES
User guidelines
This main series is used for the management of records relating to physical infrastructure and facilities of the NWU.
Although Occupational Health and Safety is a line function associated with facility management at the NWU, it is also a legislatively required process and records relating to this subject are filed in main series 1: Governance (1.1.3)
Subseries 1 contains records regarding physical infrastructure management, and is used for records relating to improving and developing infrastructure of the NWU, i.e. building/macro changes projects. Applications for changes, approvals, building projects and infrastructure planning and development are managed in this series. The main records owner in this series is the department Physical Infrastructure and Planning.
Subseries 2 contains records regarding facilities management of the NWU, and is used for records relating specifically to facilities management, such as building plans, space management and hiring and leasing of facilities and properties of the NWU. Any owner of a facility on any of the campuses or in the Institutional office must make use of subseries 5.2.4 when hiring out facilities.
Subseries 3 contains records regarding maintenance management of facilities of the NWU. Routine and daily requests for maintenance tHCugh the Technical Services/Operations departments on the campuses are managed in this series. Technical Services/Operations also use this series for the administration of contractors used in maintenance tasks.
Subseries 4 contains records regarding fleet management. This series is officially used by the Fleet departments of Technical Services/Operations but can also be used by departments who own vehicles for official university business.
Subseries 5 contains records regarding energy management at the NWU, especially with reference to municipal accounts and energy management systems.
Subseries 6 contains records relating to residence management. The records in this series include hostel administration and guest accommodation. The main record owner is the Residence and Catering departments on the campuses. For the financial aspects of residences and guest house accommodation, main series 4 should be used.
Subseries 7 contains records regarding catering management. The records in this series include dining hall and cafeteria administration. The main record owner is the Residence and Catering departments on the campuses. For the financial aspects of residences and guest house accommodation, main series 4 should be used.
181
Subseries 8 contains records relating to the activities of Information Technology management. Records in this series should be filed in adherence to the Information Technology Policy (5P/5.8) and is for future reference.
Number Policies
5P
5P/5.8 Information Technology Policy
5P/5.1 Policy on Physical Infrastructure
Disposal of original: A after approval as part of Council records
Office responsible for original: Records Management and Administration
Other offices’ disposal: D after update or revision.
Number Procedures, manuals, guidelines and strategies
5Pr 5Pr/5.6 Regulations for Hostels 5Pr/5.8.2a Rules for post-graduate students’ computers connected to the network 5Pr/5.8.2b RESNET – Rules to connect to the Campus network from a residence 5Pr/5.8.3.2 Rules for the use of the computer facilities (IO, PC and VC) 5Pr/5.8.4.2 Rules and guidelines for the use of electronic mail 5Pr/5.8.4.7 Rules and guidelines for passwords 5Pr/5.8.5a Rules and guidelines for the protection of IT infrastructure 5Pr/5.8.5b Rules and guidelines for the use of hardware 5Pr/5.8.5c Rules and guidelines for the re-use and retirement of PC’s and laptops 5Pr/5.8.5.1 Standardisation of printers and copiers 5Pr/5.8.4.4 Standardisation of legal use of software
Disposal of original: D5 after every update. Office responsible for original: Manager in specific division/process owner Other offices’ disposal: D after update or revision.
182
Number Description of record Disposal of original Office responsible for original Other offices’ disposal
5.1 Physical infrastructure management
5.1.1 New project applications
Referenced 5.1.1C/macro change/building number, e.g. 5.1.1C/macro/E12
The case file contains the following documentation
o Application o Surveys o Approval
Successful applications are taken tHCugh to 5.1.6, a case file opened and included in 5.1.2 and 5.1.3.
Unsuccessful applications are D2.
Administrative Manager Physical Infrastructure and Planning in the Office of Director: Physical Infrastructure and Planning reporting to the Executive Director: Finance and Facilities
D1 after application
5.1.2 5 year master plan Archived as part of Council records 1.3.1.4
Administrative Manager Physical Infrastructure and Planning in the Office of Director: Physical Infrastructure and Planning reporting to the Executive Director: Finance and Facilities
D1
5.1.3 Annual list of building priorities Archived as part of Council records 1.3.1.4
Administrative Manager Physical Infrastructure and Planning in the Office of Director: Physical Infrastructure and Planning reporting to the Executive Director: Finance and Facilities
D1
5.1.4 Tenders
5.1.4.1 Unsuccessful tenders
DAU5
Record 1: D1
Administrative Manager Physical Infrastructure and Planning in the Office of Director: Physical Infrastructure and Planning reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
183
5.1.5 Ad hoc projects
Are dealt with as a case file and referenced 5.1.5C/name of project.
A register of ad hoc projects are kept and referenced 5.1.5/register.
D3 Administrative Manager Physical Infrastructure and Planning in the Office of Director: Physical Infrastructure and Planning reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.1.6 Benchmarking D3 Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.1.7 Building projects
Are dealt with as case files and referenced 5.1.7C/serial number, e.g, 5.1.7C/NWUP01/2009
Each project case file may contain the following records:
o Correspondence o Minutes o Requisitions o Tender documents o Quotations o Budget of QS o Material list o Advertisements o Tender reports o Appointment letters o Finances o Payments to contractors and
suppliers/professional consultants o Unsuccessful contractors o Snag list o Certificates of practical completion o Certificate of final completion
D5 after completion of project and if no litigation has ensued on project aspects.
Administrative Manager Physical Infrastructure and Planning in the Office of Director: Physical Infrastructure and Planning reporting to the Executive Director: Finance and Facilities
No copies to be kept by other offices.
184
5.1.7.1 Project register P in office of origin and A once a year at year end.
Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.1.7.2 Building project contracts D5 after expiration of contract and when no litigation has ensued.
Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.1.8 Contractor/supplier database P in office of origin. Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.1.9 Electrical and Electronic projects
A case file is opened and may contain the following records:
5.1.9.1 Application form
5.1.9.2 Project register
5.1.9.3 Project plans
5.1.9.4 Quality assurance
5.1.9.5 Client service questionnaire
D5 after expiration of contract and when no litigation has ensued.
Administrative Managers responsible for project
No copies to be kept by other offices.
5.2 Facilities management
HEMIS statistics – please use reference 2.6.1.3.3 (Management information)
5.2.1 Surveys D1 after completion of database statistics
Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.2.2 Building plans P in office of origin. Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director:
No copies to be kept by other offices.
185
Finance and Facilities
5.2.3 Facilities management programme Electronic database. P in office of origin.
Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.2.4 Facilities use and hire
o Payments received
o Accounts
o Hire contracts
o Hire forms
A case file is opened for each facility for and referenced 5.2.4C/conservatory.
D5 after expiry Owner of specific facility D1
5.2.5 Property letting
5.2.5.1 Lease documentation
A case file is opened for each property for rent and referenced 5.2.5.1C/collegelaan. A case file will contain:
5.2.5.1.1 Lease contracts
5.2.5.1.2 Lease forms
5.2.5.2 Water and electricity bills for property
5.2.5.3 Payments received
D5 after expiry of lease Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Mafikeng Campuses
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
5.2.6 Specialised facilities
D3 Manager of the facility D1
186
5.3 Maintenance management
5.3.1 Micro/smaller changes
5.3.1.1 List Archived as part of Council records 1.3.1.4
Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
5.3.1.2 Requests D3 Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
5.3.2 Routine, daily, preventative maintenance
5.3.2.1 Planning
5.3.2.1.1 5 year plan
5.3.2.1.2 10 year plan
5.3.2.1.3 Preliminary quotations
D3 Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services
No copies to be kept by other offices.
187
reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
5.3.2.2 Requests
5.3.2.2.1 Client service forms
A requisition is logged on Oracle and deleted once request has been dealt with.
Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D3 months
5.3.2.3 Job cards administration
A case file is opened for each tradesman and referenced number and name, e.g. 5.3.2.3C/John
5.3.2.3.1 Job card reports
P on KISS programme
Hard copies: D1
Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
188
5.3.2.4 Tradesmen files
A case file is opened for each tradesman and may contain:
o Vehicle information o Equipment
A case file is referenced 5.3.2.4C/name of tradesman, e.g. 5.3.2.4C/James
D after tradesman leaves service.
Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.3.2.5 Maintenance service administration
Each service is dealt with as a case file and referenced by the number and type of service, e.g.
5.3.2.5C/cleaning and conveyer
5.3.2.5C/gardening
5.3.2.5C/refuse
5.3.2.6C/Electrical and electronic
Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
189
5.3.3 Contractor administration
5.3.3.1 A case file is opened for each contractor and referenced 5.3.3.1C/name of contractor, e.g. 5.3.3.1C/AEG Electrical
A case file will contain the following records:
o Tender advertisement o Tender documentation o Discussion forums o Contractor contract o Contractor payments o Copies of material used
D5 Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.3.3.2 Closed quotations
A case file is opened for each quotation number and referenced 5.3.3.2C/quotation nr, e.g. 5.3.3.2C/123456
A case file will contain the following records:
o Closed quotation document o List of contractors invited o Quotations received o Recommendation of approved quotation o Proof of payment
D5 Manager: Operations and Maintenance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
Manager: Technical Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4 Fleet management
(This series is officially used by the Fleet Departments of Technical Services, but can also be used by departments who own vehicles for official university business)
190
5.4.1 Purchasing and selling of vehicles
5.4.1.1 Quotations for new vehicles D5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus. Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus. Person responsible for vehicle of department on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
5.4.1.2 Tenders for purchasing of new vehicles D5 Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus (also for the Mafikeng Campus)
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
191
5.4.1.3 Tenders for selling of vehicles D5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus. Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
D1
5.4.2 Vehicle administration
Each vehicle is dealt with as a case file and referenced 5.4.2C/registration number of vehicle, e.g. 5.4.2C/FTJ776NW and will contain the following records:
o Proof of purchase o Registration o Licence o Service record, maintenance and repairs o Proof of resale of vehicle
Disposal: D5 after re-selling of vehicle
Office responsible for original:
Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus.
Person responsible for vehicle of department on the Potchefstroom Campus.
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus.
Disposal of copies: No copies to be kept by other offices.
192
5.4.3 Vehicle reservations
5.4.3.1 Copies of driver’s licenses D after employee has left service
Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus. Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus Person responsible for vehicle of department on the Potchefstroom Campus
No copies to be kept by other offices.
5.4.3.2 Bookings/reservations Bookings are done per requisition on Oracle and entered into an Excel database per vehicle per day.
Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus. Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus Person responsible for vehicle of department on the Potchefstroom Campus
No copies to be kept by other offices.
193
5.4.3.3 Client service forms D3 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.3.4 Indemnity forms D3 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Mafikeng Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
194
5.4.3.5 Route slips by requisition numbers D5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.3.6 Vehicle reservation permit books D3 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
195
5.4.4 Traffic fines
5.4.4.1 Fines received D5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
Person responsible for vehicle of department on the Potchefstroom Campus
No copies to be kept by other offices.
5.4.4.2 Proof of fines paid D5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
196
5.4.4.3 Renaming of fines (not paid yet) D5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.5 Satellite fleet tracking D5 Not applicable on the Mafikeng Campus.
Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus.
Person responsible for vehicle of department.
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
197
5.4.6 Fuel
5.4.6.1 Daily dip-readings D3 Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.6.2 Orders for fuel D3 Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.6.3 Delivery invoices D3 Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
198
5.4.6.4 Private fuel claims D3 Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.6.5 Fuel booklets D3 Fleet manager in the office of the Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.4.6.6 Fleet credit card administration DAU5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus
No copies to be kept by other offices.
199
5.5 Energy and Environmental management
5.5.1 Accounts issued DAU5 Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.5.2 Database management
5.5.2.1 Municipal accounts
5.5.2.2 Meter readings
P in office of origin. Manager: Facilities in the office of the Director Finance reporting to the Vice-Rector: Quality and Planning on the Mafikeng Campus.
Manager: Technical Services on Campus reporting to the Chief Director: Finance and Facilities on the Potchefstroom Campus
Manager: Technical Services reporting to the Director: Operational Management on the Vaal Triangle Campus
No copies to be kept by other offices.
5.5.3 Planning P in office of origin. Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
D1
5.5.4 Energy management system P on electronic system used to manage energy.
Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
200
5.5.5 Environmental management D5 Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities
No copies to be kept by other offices.
5.6 Residence management
5.6.1 Residence administration
A case file is opened for each hostel and referenced with number and name of hostel, e.g. 5.6.1C/Veritas or 5.6.1C/Faranani
A case file can contain the following:
o Information about the Residence Officer
o Residence Officer reports o Problems and other matters o Cancellations of students o Disciplinary matters o Maintenance o Tenders o Statistics o Placements o Residence occupation
D3 Manager Residences reporting to the Director: Finance on the Mafikeng Campus.
Manager: Residences in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses.
D3
5.6.1.1 Student placement administration
5.6.1.1.1 Application form (for first years) 5.6.1.1.2 Form for senior students 5.6.1.1.3 Hostel lists 5.6.1.1.4 Passage lists 5.6.1.1.5 Cancellation form
Records 1-2 are captured and kept P on VSS system
All records in hard copy D5.
Manager Residences reporting to the Director: Finance on the Mafikeng Campus. Manager: Residences in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
201
5.6.1.2 Statistics Permanent in office of origin.
D3 all other hard copy records.
Manager Residences reporting to the Director: Finance on the Mafikeng Campus. Manager: Residences in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
5.6.2 Guest accommodation administration
A case file is opened for each residence and referenced with number and name of residence, e.g. 5.6.2C/Astrovilla
A case file can contain the following:
o Bookings (5.6.2.1) o Invoices (4.1.8.1) o Payments (4.1.8.2) o Agreements (2.4.1) o Reconciliations (4.1.8.3)
For the management of income from guesthouses, please use 4.1.8.
DAU5 Manager Residences reporting to the Director: Finance on the Mafikeng Campus. Manager: Guest accommodation in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
5.6.3 Project administration for maintenance
A case file is opened for each project and referenced with number and name of project, e.g. 5.6.3C/Wanda or 5.6.3C/Faranani
D5 after completion of project and if no litigation has ensued on project aspects.
Manager: Operations and Maintenance on the Mafikeng Campus. Manager: Projects in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
202
5.6.4 Pukki stay DAU5 Manager Residences reporting to the Director: Finance on the Mafikeng Campus. Manager: Guest accommodation in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
5.7 Catering management
5.7.1 Dining hall administration
A case file is opened for each of the following subjects referenced as indicated, e.g 5.7.1.2C:
5.7.1.1 Maintenance 5.7.1.2 Upgrades 5.7.1.3 Equipment 5.7.1.4 Menus 5.7.1.5 Uniforms 5.7.1.6 Recipes 5.7.1.7 Special functions 5.7.1.8 Statistics 5.7.1.9 Varsite Vending
D3 Manager: Catering Services in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
This series applies only to the Potchefstroom Campus.
No copies to be kept by other offices.
5.7.2 Cafeteria and restaurant management
5.7.2.1 Menu planning
5.7.2.1.1 Cost calculations per menu
5.7.2.1.2 Price increases
5.7.2.1.3 New product analysis
5.7.2.1.4 Price comparisons
5.7.2.1.5 Market research
5.7.2.1.6 Specials and promotions
D3 Managers: Cafeteria in the office of the Director: Residences and Catering Services reporting to the Chief Director: Finance and Facilities
No copies to be kept by other offices.
203
5.8 Information Technology management
For future reference
204
6. BRANDING, MARKETING AND COMMUNICATION
User guidelines
This main series is used for the management of records relating to branding, marketing and communication activities of the NWU as a whole, as well as campuses, faculties, schools and departments. As such, numerous offices may be responsible for the management of original records, as the activity is not centralised.
Subseries 1 is used for the management of records relating to the brand of the NWU. Information on branding campaigns, corporate identity, trademarks, etc are managed in this series and mainly belong to the Office of the Executive Director: Corporate Affairs and Relations and for campus applications, to the Directors: Marketing and Communication on the campuses.
Subseries 2 is used for the management of communication activities at the NWU and the owners of records may vary from the IO CAR department, to the marketing and communication departments of the campuses, as well as any staff member in a faculty, school or department that produces either a newsletters or information flier containing information of an official nature. The actual newsletter, leaflet, etc as per occasion is filed in this series. The records relating to the internet and intranet are kept in accordance with the Web Policy (6P/6.2.3.2.1).
Subseries 3 is used for the management of records regarding fundraising activities. A case file is opened according to the nature of the fundraising activity. All fundraising activities are filed in this series, and as such, record owners may vary from the Corporate Affairs and Relations Department, to the Campus Marketing and Communication departments to faculties, schools and support departments or anyone who may do fundraising.
Subseries 4 is used for the management of records regarding stakeholder relations. A case file is opened for each special stakeholder relations event. These events are varied in nature and include events such as, stakeholder events, client events, i.e. any event with a marketing or communication aspect. Please note that for official university ceremonies such as opening and closings, inaugurations etc, series 2.16 should be used. Graduations are dealt with in series 7.1.12
Subseries 5 is used for the management of records relating to alumni. This subseries is however not used for managing records of the convocation, which are dealt with in series 1.3.33. Alumni events are managed as case files.
Subseries 6 is used for the management of records relating to campus marketing activities for student recruitment. Records are dealt with as case files within the specific marketing programme they relate to.
Subseries 7 is used for the management of records regarding institutional advancement activities. A case file is opened according to the nature of the activity.
205
Number Policies
6P
6Pr
6P/6.1 Brand Identity Policy 6P/6.2.3 Media Policy 6P/6.2.3.2.1 NWU Online Publication Policy 6P/63 Development and Fundraising Policy 6P/6.5 Alumni Relations Policy 6Pr/6.1.2.3 Procedure for secondary logos 6Pr/6.2.3.2.1 Social media guidelines for NWU students and staff 6Pr/6.7 Conceptual Framework for Institutional Advancement
Disposal of original: A after approval as part of Council records
Office responsible for original: Records Management and Administration
Other offices’ disposal: D after update or revision.
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.1 Brand Management
6.1.1 Strategy, planning and research D5 Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
No copies to be kept by other offices.
6.1.2 Corporate Identity
206
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.1.2.1 Manual A after each update Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
D after each update
6.1.2.2 Logo, swoosh and pay-off line Correspondence: D5.
A examples of finalised products as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
No copies to be kept by other offices.
6.1.2.3 Secondary logos
6.1.2.3.1 Application form 6.1.2.3.2 Approvals 6.1.2.3.3 Register 6.1.2.3.4 Criteria matrix
Records 1 and 2: A1 as part of the minutes of the CCID committees and ICBID committee (2.2.2.8/M or 2.2.2.8/P or 2.2.2.8/V or 2.2.2.8/I)
Record 3: A after logos have been added.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
D1
6.1.2.4 Visual language A Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
D1
6.1.2.5 Stationery A examples of stationary as soon as received.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
D1
207
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.1.2.6 Certificates, Medals and Trophies A examples of certificates as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.1.2.7 Clothing and sportswear
6.1.2.7.1 Informal 6.1.2.7.2 Sports 6.1.2.7.3 Official Ceremonial Regalia (see 7.1.12.9)
A examples of clothing as soon as received.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.1.2.8 Signage A paper examples as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.1.2.9 Interior Design A paper examples as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
208
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.1.2.10 Academic posters A paper examples as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.1.3 Communication branding
6.1.3.1 Cards and invites 6.1.3.2 Graduation ceremonies and official
openings 6.1.3.3 Publications, newsletters and
annual reports 6.1.3.4 Covers 6.1.3.5 Study guides 6.1.3.6 Brochures
A paper examples as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.1.4 Advertising and marketing branding
6.1.4.1 Print
6.1.4.2 Radio
6.1.4.3 TV
6.1.4.4 Outdoor
6.1.4.5 Posters
6.1.4.6 Promotional
6.1.4.6.1 Corporate gifts
A paper examples as soon as finalised.
Record 1: A1 marketing material as soon as finalised.
Records 2 and 3: Audiovisual material should be sent to the archive for permanent preservation. Please liaise with the archivists as to
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
209
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.1.4.6.2 Direct mail
Files should be referenced a case file by number, OE and date, e.g. 6.1.4.1C/P-2008
the best medium to use.
Records 5 and 6: One example of each item should be sent to the archive for permanent preservation.
6.1.5 Electronic media branding
6.1.5.1 PowerPoint
6.1.5.2 Video
6.1.5.3 E-mail
6.1.5.4 Online
A paper examples as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.1.6 Internal branding
6.1.6.1 Employee engagement
A paper examples as soon as finalised.
Brand Manager in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.2 Communication
6.2.1 Plans/strategy
Referenced with number and OE, e.g. 6.2.1/I or 6.2.1/M
D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
210
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.2.2 Internal channels
6.2.2.1 Register A after changes to register has been made.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.2.2.2 Print
Each print media is a case file and referenced by using number, OE and name of media, e.g. 6.2.2.2C/I-Pocket statistics or 6.2.2.2C/P-PukGids, 6.2.2.2C/I-RM newsletter. A case file can contain the following: o Research o Correspondence o Procedures/processes o Budget o Consultation/agreements o Ad hoc matters o Final printed material
A the final printed material as soon as finalised.
D3 the rest of the file.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses Staff responsible for newsletters/communication materials in the faculties, schools or departments.
D1
6.2.2.3 Electronic
6.2.2.3.1 Intranet
This file can contain records such as:
o Site map o Correspondence o Planning/strategy
A6 months. Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations
D1
211
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.2.2.3.2 Media
Each electronic media is a case file and referenced by using number, OE and name of media, e.g. 6.2.2.3.2C/I-@NWU or 6.2.2.3.2C/V-Rector’s Desk
A case file can contain the following:
o Research o Correspondence o Procedures/processes o Budget o Consultation/agreements o Ad hoc matters o Final printed copy of media
A the final printed material as soon as finalised.
D3 the rest of the file.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
Staff responsible for newsletters/communication materials in the faculties, schools or departments.
D1
6.2.2.3.3 Other A the final printed material as soon as finalised.
D3 the rest of the file.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
Staff responsible for newsletters/communication materials in the faculties, schools or departments.
D1
212
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.2.3 External channels
6.2.3.1 Print
Each printed media is a case file and referenced by using number and name of media utilised, e.g. 6.2.3.1C/Beeld or 6.2.3.1C/Herald
A case file can contain the following:
o Research o Correspondence o Procedures/processes o Budget o Consultation/agreements o Ad hoc matters o Final print of media
A the final printed material as soon as finalised.
D3 the rest of the file.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
D1
6.2.3.2 Electronic
6.2.3.2.1 Internet
This file can contain records such as:
o Site map o Correspondence o Planning/strategy
A6 months. The internet is archived to an external hard drive 2x per year.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations
D1
6.2.4 Media releases
Referenced by using number and date-subject of release 6.2.4/1Jan2009-unrest
A as soon as finalised. Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
213
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.2.5 Media monitoring D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.2.6 Publicity Profile D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.2.7 Image/Reputation Management D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.2.8 Public opinion management D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
214
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.2.9 Positioning and alignment D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.3 Fundraising
6.3.1 Strategy A1 Staff responsible for fundraising in the faculties, schools or departments.
No copies to be kept by other offices.
6.3.2 Database administration P on database.
Hard copy documentation relating to database: D2
Staff responsible for fundraising in the faculties, schools or departments.
No copies to be kept by other offices.
6.3.3 Donations/Contributions
Referenced by number, OE and name of donator, e.g. 6.3.3/I-SANLAM
DAU5 Staff responsible for fundraising in the faculties, schools or departments.
No copies to be kept by other offices.
6.3.4 Sponsorships
Referenced by number, OE and name of sponsor, e.g. 6.3.4/M-ABSA
DAU5 Staff responsible for fundraising in the faculties, schools or departments.
No copies to be kept by other offices.
6.3.5 Partnerships
Referenced by number, OE and name of partner, e.g. 6.3.5/V-NMMU
D7 Staff responsible for fundraising in the faculties, schools or departments.
No copies to be kept by other offices.
215
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.3.6 Endowment fund DAU5 Manager: Money Market reporting to Executive Director: Finance and Facilities for the financial aspects
No copies to be kept by other offices.
6.3.7 Projects
6.3.7.1 Proposal
6.3.7.2 Registration
D3 Staff responsible for fundraising in the faculties, schools or departments.
No copies to be kept by other offices.
6.4 Stakeholder Relations
6.4.1 Database administration P on database.
Hard copy documentation relating to database: D2
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
Staff hosting special events.
D1
216
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.4.2 Special internal events management
Each event is dealt with as a case file and referenced by using number and name of event, e.g. 6.4.2C/M-secretaries breakfast or 6.4.2C/I-VC breakfast, 6.4.2C/V-Watuni function.
A: photos, descriptions and brochures/material of events.
D2 all records relating to arrangements of special internal events.
Events Coordinator in the office of the Director Marketing and Communication on the Mafikeng Campus.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Potchefstroom and Vaal Triangle Campuses.
Staff hosting special events.
D1
6.4.3 Business sector relations
Each event is dealt with as a case file and referenced by using number and name of event, e.g. 6.4.3C/M-sector dinner or 6.4.3C/P-Rector’s function
A: photos, descriptions and brochures/material of events.
D2 all records relating to arrangements of business sector relations events.
Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations and the Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.5 Alumni Management
6.5.1 Database administration P on database.
Hard copy documentation relating to database: D2
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
217
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
6.5.2 Alumni events
Each event is dealt with as a case file and referenced by using number, OE and name of event, e.g. 6.5.2C/P-Wynproe or 6.5.2C/V-Reunion 1994
A: photos, descriptions and brochures/material of events.
D2 all records relating to arrangements of alumni events.
Directors: Marketing and Communication on the Campuses.
No copies to be kept by other offices.
6.5.3 Alumni data form P on database.
Hard copy documentation relating to database: D2
Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.6 Campus Student Recruitment Management
6.6.1 Strategy Referenced with number and OE, e.g. 6.6.1/I or 6.6.1/M
D3 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.6.2 Plan Referenced with number and OE, e.g. 6.6.2/P, 6.6.2/V
D3 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.6.3 Liaison programme Each event in the programme is dealt with as a case file and referenced by number, OE and event name, e.g. 6.6.3C/P-career shows
D5 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.6.4 Direct marketing programme Each event in the programme is dealt with as a case file and referenced by number, OE and event name, e.g. 6.6.4C/M-school visits
D5 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
218
Number Description of record Disposal of the original
Office responsible for the original
Other offices’ disposal
Advertising programme Please make use of series 6.1.4 and reference each event as a case file by number, OE and event name, e.g. 6.1.4C/P-OFM
A1 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
Promotion programme
Please make use of series 6.1.4 and reference each event as a case file by number, OE and event name, e.g. 6.1.4.4C/V-banners
D5 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
6.7 Institutional Advancement
Referenced by number, OE and name of donator, e.g. 6.7/I-SANLAM
DAU5 Staff responsible institutional advancement
No copies to be kept by other offices.
6.7.1 Meal-a-day Application form DAU5 Staff responsible institutional advancement
No copies to be kept by other offices.
219
7. STUDENT ADMINISTRATION, SYSTEMS AND AFFAIRS
User guidelines
This series is used for the management of records relating to student academic administration (including admissions, registration, class attendance, examinations, graduations etc.), the student
system (VSS), and student affairs (including sport, culture, student counselling etc.) Most of the original records will be held by Academic Administration/Services, Student Services and Student Administrative System Departments.
Subseries 1 is used for the management of records related to academic administration. The main record owner is Academic Administration/Services and most of the records are placed on a student file. A student file is referenced 7.1C/student number, e.g. 7.1C/1234567. All records placed on the student file should be referenced by the reference number of the record and the student number, e.g 7.1.1.2/1234567. A student file is opened for subseries 7.1 (Academic Administration) only. The official student file is held by Academic Administration/Services. In cases where student files are opened in the faculties, it is mandatory that the copy student file be sent to Academic Administration/services to be merged with the official student file in the event of the student graduating or terminating studies.
This series consists of 11 subdivisions:
o Subdivision 1 is used for the management of records relating to student admissions. In cases of foreign students the Admissions Office deals with the admission of the foreign students whilst the International Office deals with the legal aspects of the foreign students. A foreign student has to be listed on the database held by the International Office, please see 2.8.1.2. Records in this series are managed in adherence to the Admissions Policy (7P/7.1.1).
o Subdivision 2 is used for the management of records relating to student registration.
o Subdivision 3 is used for the management of records relating to student class attendance administration. These records are administered in the faculties by either the lecturer or the faculty manager and will depend upon the processes followed in the specific faculty. Class timetables are administered by Student Administrative Systems. Medical certificates may be placed on the official student file.
o Subdivision 4 is used for the management of records relating to termination of studies.
o Subdivision 5 is used for the management of records relating to various student requests. The records may originate in the faculties and follow paths tHCugh faculty boards, but all student requests and resulting decisions should form part of the official student file.
o Subdivision 6 is used for the academic records and certificate of conduct. Due to the fact that not all academic records are captured on the VSS, archive student results might need to be compiled from student files predating the existence of the VSS (1979). The D5 disposal instruction for student files does not apply to student files of which the academic records are not on the VSS.
o Subdivision 7 is used for the management of records relating to class tests and assignments. Class tests and assignments form part of the formative assessment of students, and therefore they tests and assignments are handed back to the students after marking and marks capturing. In order to ensure proper recordkeeping, a class list should be printed and students should sign for the receipt of the marked tests and assignments (collection register – 7.1.7.3). Disposal is indicated for the tests and assignments not collected and the collection register. Test and assignment papers and memoranda, etc are part of main series 8 dealing with assessment and moderation. This series deals only with the administration of tests and assignments.
o Subdivision 8 is used for participation mark statements.
220
• Subdivision 9 is used for management of records relating to examination administration (including appointment of external examiners, invigilators, venues, examination paper security and results). The main records owner is the examinations office in Academic Administration/Services. Examination papers and memoranda, etc are part of main series 8 dealing with assessment and moderation. This series deals only with the administration of exams.
• Subdivision 10 is used for result administration.
• Subdivision 11 is used for the administration of post-graduate studies. A case file entitled a research/title file is opened for each post-graduate student’s thesis/dissertation of mini-dissertation. This series deals only with the administration of post-graduate studies. Main series 9.4 is used by the faculties for the approval, monitoring and assessment of post-graduate studies undertaken in the faculties.
• Subdivision 12 is used for the management of graduation records. The main record owners are the officers responsible for organising the graduation ceremonies.
Subseries 2 is used for the management of records related to student administrative system management (VSS). The main record owner is the operating system specialists in the Student Administrative System Department. These records include manuals for use of the VSS, VSS system development and maintenance and training. Academic calendar administration is recorded in this subseries and referenced 7.2.5.
Subseries 3 is used for the management of records related to student affairs.
This series consists of 8 subdivisions:
o Subdivision 1 is used for the management of records relating to student management usually performed by the office of the Dean of Students and the Director/Manger: Student Affairs The records relating to the governance function of the SRC are filed as part of main series 1 (1.3.32). This subdivision includes records about SRC training and academic student societies
o Subdivision 2 is used for the management of records relating to student training in general (not academic programmes – please see main series 8). The records for the Introduction Programme for First Years are managed in this series.
o Subdivision 3 is used for the management of records relating to student counselling and development. The main record owner is the Manager /Director of Student Counselling/snr Counsellor and Services on the Campuses.
o Subdivision 4 is used for the management of records relating to student wellness. This series is for future reference.
o Subdivision 5 is used for the management of records relating to sports management. The main record owner is the Director/Manager of sport on the Campuses.
o Subdivision 6 is used for the management of records relating to culture management. The main record owner is the Director/Manager of culture on the Campuses. .
o Subdivision 7 is used for the management of records relating to NWU graduate career management. The main record owner is the Manager: Career Centre and the records of this activity include employer presentations, career fares, career guides and workshops and the CareerZone on the internet.
o Subdivision 8 is used for the management of student discipline records. The main record owner is the Student Disciplinary Officer/Campus Registrar Only a notice of disciplinary action regarding a student is placed on the student file and all the other records (case files) are kept in the office of the Student Disciplinary Officer/Campus Registrar.
221
Number Policies
7P
7P General Academic Rules
7P/7.1.1 Admissions Policy
7P/7.2.5 Faculty Calendars
7P/7.3.4 Policy on students with disabilities
7P/7.8.3 Rules for student discipline
Disposal of original: A after approval as part of Council records
Office responsible for original: Policy owner
Other offices’ disposal: D after update or review.
Number Procedures, manuals, guidelines and strategies
7Pr 7Pr/7.1.1A Process manual for undergraduate and honours administration: admission
7Pr/7.1.1B Admission requirements
7Pr/7.1.2 Process manual for undergraduate and honours administration: records
7Pr/7.1.3.6 Manual for Study centres
7Pr/7.1.9a Process manual: Examination division
7Pr/7.1.9b Examination instructions
7P/7.1.9.3 Procedure for sending and receiving examination papers and examination scripts by courier
7Pr/7.1.9.4a Process manual for invigilating (on-campus)
7Pr/7.1.9.4b Process manual for distance invigilators
7P/7.1.9.4.4 Procedure for the appointment of an examination co-coordinator
222
7Pr/7.1.9.5 Procedure for the return of examination scripts and prescribed security documentation
7Pr/7.1.9.7 Procedure for marks and examination results
7Pr/7.1.10 Procedure for the administration of Masters and Doctorate study assessment
7Pr/7.1.11 Protocol and procedures for Doctoral degree ceremonies
7Pr/7.3.8a Appeals procedure
7Pr/7.3.8b Disciplinary procedures
Disposal of original: D5 after every update.
Office responsible for original: Manager in specific division/procedure owner.
Other offices’ disposal: D after update or review.
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1 ACADEMIC ADMINISTRATION
A student file is numbered 7.1C/student number, e.g. 7.1C/1234567.
Records that should be placed on the student file are indicated in the “disposal of the original” column.
The disposal attached to a student file is D5 after termination of studies due to graduation or any other instance. Please take note of the instruction in the user guidelines for subseries 1, subdivision 7.1.6.
7.1.1 Student admissions
7.1.1.1 Enquiries D1 Admissions officers in the office of the Manager: Academic Services/Director: Academic Administration reporting to the Campus Registrar
No copies to be kept by other offices.
223
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.1.2 Application forms This record forms part of the official student file at Academic Administration/Services.
Should an application not lead to registration: D1
Should an application lead to registration, but no activity takes place: D5
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar. Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.1.3 Proof of payment for application This record forms part of the official student file at Academic Administration/Services.
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar. Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.1.4 Alternative/senate discretionary admissions
7.1.1.4.1 Letter to student 7.1.1.4.2 Letter to student on special admission result
The list of results is referenced 7.3.3.1.2 and the owner is Student Counselling Services. Enquiries about special admissions should be directed to Student Counselling Services.
These records form part of the official student file at Academic Administration/Services.
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar. Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
224
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.1.5 Supporting documentation
7.1.1.5.1 Proof of qualifications
o Grade 12 results o Subject declarations o Equivalent qualifications o Other degrees/diplomas or certificates o RPL declaration
7.1.1.5.2 Copy of ID document
These records form part of the official student file at Academic Administration/Services.
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar. Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.1.6 Foreign students
7.1.1.6.1 Study permits 7.1.1.6.2 Residence permits 7.1.1.6.3 Copy of passport 7.1.1.6.4 Correspondence 7.1.1.6.5 SAQA evaluation 7.1.1.6.6 Confirmation of provisional
registration of a foreign student 7.1.1.6.7 Visum 8.4.3.1 RPL request form
These records form part of the official student file at Academic Administration/Services. See the note in the User guidelines under subseries 1, subdivision 7.1.
Please also see 2.8 in this regard.
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar. Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.1.7 Final correspondence regarding student’s admission status
7.1.1.7.1 Letter regarding admission status
These records form part of the official student file at Academic Administration/Services.
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar. Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
225
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.1.8 Admission statistics P on VSS.
Part of the records of the Campus Management Committee (2.2.2.6) and Extended Management Committee (2.2.2.7)
Mafikeng Campus: Student records officers in the office of the Manager: Academic Services reporting to the Campus Registrar.
Potchefstroom and Vaal Triangle Campuses: Admissions officers in the office of the Director/Managers: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.2 Student registration
7.1.2.1 Registration forms This record forms part of the official student file at Academic Administration/Services.
P electronically on VSS system
Filing officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
SAS is owner of the electronic records.
No copies to be kept by other offices.
7.1.2.2 Curriculum control forms This record forms part of the official student file at Academic Administration/Services.
Faculty officers on the Mafikeng Campus.
Student records officer in the office of the Director: Academic Administration reporting to the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
226
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.2.3 Proof of registration This record forms part of the official student file at Academic Administration/Services.
P electronically on VSS system
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
SAS is owner of the electronic records.
No copies to be kept by other offices.
7.1.2.4 Correspondence regarding student’s registration
This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Manager: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.2.5 HESA correspondence This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.2.6 Web registration This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.2.7 Reporting / Statistics D3 Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
227
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.2.8 Re-registation This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.2.9 Academic advice This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.2.10 Proof of payment This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.3 Class attendance administration
7.1.3.1 Class lists D3 Lecturer responsible for module No copies to be kept by other offices.
7.1.3.2 Attendance registers D3
This record can form part of the compulsory module file.
Lecturer responsible for module
No copies to be kept by other offices.
228
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.3.3 Class timetables D1 Operating system specialist in the office of the Manager: Student Administrative Systems creates the records, but it is kept by the Timetable Officer on the Potchefstroom Campus and Director: ACA on Vaal Triangle Campus and the Campus Registrar on the Mafikeng Campus.
D1
7.1.3.4 Medical certificates D1 Lecturer responsible for module No copies to be kept by other offices.
7.1.3.5 Tuition centres
A case file is opened for each tuition centre and relevant records are filed in the case file, e.g. 7.1.3.5C/Windhoek
7.1.3.5.1 Duty list of centre coordinator 7.1.3.5.2 Duty list of centre facilitator 7.1.3.5.3 Control sheet for resource centres 7.1.3.5.4 Complaint form 7.1.3.5.5 Statistics 7.1.3.5.6 Correspondence 7.1.3.5.7 Evaluation 7.1.3.5.8 Manuals 7.1.3.5.9 Qualifications of centre facilitators 7.1.3.5.10 Attendance registers
D5 Administrative officers in faculties or units
No copies to be kept by other offices.
229
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.3.6 Administration of the practical component (work-based learning)
This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.4 Termination of studies
7.1.4.1 Warning letters This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.4.2 Cancellation by student This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.4.3 Disciplinary action
The complete disciplinary action case file is referenced 7.3.8.2C.
Please see user guidelines: 7.3.8 regarding student discipline.
This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.4.4 Academic and module exclusion This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration reporting to the Campus Registrar.
No copies to be kept by other offices.
230
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.5 Student requests
7.1.5.1 Formal on academic record
7.1.5.2 Informal in faculty
7.1.5.3 Address change form
7.1.5.4 Grievances
7.1.5.5 Application for subject credit
This record forms part of the official student file at Academic Administration/Services.
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.6 Academic record and certificate of conduct
7.1.6.1 Current
7.1.6.2 Archive student results
7.1.6.3 Standard letter – no respond of student
7.1.6.4 Standard letter – syllabus
7.1.6.5 Letter – explanation of credits
7.1.6.6 Documentation – syllabus
Record 1: P on VSS
Record 2: D5
Student records officer in the office of the Director: Academic Administration/Manager: Academic Services reporting to the Campus Registrar.
No copies to be kept by other offices.
7.1.7 Class tests/assignments administration
7.1.7.1 Result lists P on VSS
These records can also form part of the module file in series 8.
Administrative Manager/Faculty officer in the Faculty and Administrative Officer in the Office of the Manager: Student Administrative Systems
No copies to be kept by other offices.
7.1.7.2 Review of results correspondence D3 Lecturer or Administrative Manager/Faculty officer in the faculty
No copies to be kept by other offices.
231
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.7.3 Collection register D3 Lecturer or Administrative Manager/Faculty Officer in the faculty
No copies to be kept by other offices.
7.1.7.4 Timetable D3 Administrative Manager/Faculty officer in the Faculty and Administrative Officer in the Office of the Manager: Student Administrative Systems
No copies to be kept by other offices.
7.1.7.5 Check list D3 Administrative Manager/Faculty officer in the Faculty and Administrative Officer in the Office of the Manager: Student Administrative Systems
No copies to be kept by other offices.
7.1.7.6 Assignment mark sheet D3 Administrative Officers in faculties
No copies to be kept by other offices.
7.1.7.7 List of assignments received D3 Administrative Officers in faculties
No copies to be kept by other offices.
7.1.7.8 List of assignments returned D3 Administrative Officers in faculties
No copies to be kept by other offices.
7.1.7.9 Delivery notes / Assignments Batches D3 Administrative Officers in faculties
No copies to be kept by other offices.
232
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.7.10 List of assignments marked D3 Administrative Officers in faculties
No copies to be kept by other offices.
7.1.8 Participation mark statements P on VSS
This record can also form part of the module file in series 8.
Mafikeng Campus: Faculty Officer.
Potchefstroom and Vaal Triangle Campuses: Administrative managers in the faculties.
No copies to be kept by other offices.
7.1.9 Examination administration
7.1.9.1 Timetables P on VSS Operating system specialist in the office of the Manager: Student Administrative Systems creates the records, but it is kept by the Examinations departments in Academic Administration on the campus.
D1
7.1.9.2 External undergraduate examiners and moderators
7.1.9.2.1 Appointment
Payments are dealt with in main series 3 referenced 3.8.3.4.
D3 Mafikeng Campus: Administrative officer – Manager: Academic Services in the Office of the Campus Registrar
Potchefstroom and Vaal Triangle Campuses: Administrative managers in the Faculties.
233
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.9.3 Examination papers administration
7.1.9.3.1 Cover sheet 7.1.9.3.2 Mark sheet
Examinations papers are part of main series 8 referenced 8.1.7.2.2.
For the examination paper style sheet use 8.1.7.2.2.
D1 Examinations division of Academic Administration Department in the Office of the Campus Registrar
No copies to be kept by other offices.
7.1.9.4 Invigilators (on campus)
7.1.9.4.1 List
7.1.9.4.2 Timetable
7.1.9.4.3 Letter of confirmation
7.1.9.4.4 Undertaking of examination coordinator
7.1.9.4.5 Undertaking of foreign invigilators
7.1.9.4.6 Application form for invigilators on campus
7.1.9.4.7 Attendance list of invigilators
7.1.9.4.8 Final invigilator report
7.1.9.4.9 Correspondence
D1 Examinations division of Academic Administration Department in the Office of the Campus Registrar
No copies to be kept by other offices.
234
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.9.5 Security
7.1.9.5.1 Attendance slips and/or register
7.1.9.5.2 Control form
Record 1: D3 following year of assessment (article 6.9 of Teaching-learning Policy)
Record 2: D1
Examinations division of Academic Administration Department in the Office of the Campus Registrar
No copies to be kept by other offices.
7.1.9.6 Venues / Examination centres
7.1.9.6.1 List of internal venues
7.1.9.6.2 List of external venues
7.1.9.6.3 Application form to write examination at venue
7.1.9.6.4 Evaluation form of venue/examination centred
7.1.9.6.5 Evaluation form of examination process at venue
7.1.9.6.6 Evaluation form of facilities at venue
7.1.9.6.7 Key register of venues
7.1.9.6.8 Report form of evaluator
7.1.9.6.9 Undertaking of evaluator on campus
7.1.9.6.10 Undertaking of evaluator of examination centre
7.1.9.6.11 Correspondence
D1 Examinations division of Academic Administration Department in the Office of the Campus Registrar
No copies to be kept by other offices.
235
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.9.7 Markers examination assistance
7.1.9.7.1 Marker appointment
7.1.9.7.2 Marker qualification
7.1.9.7.3 Marker duty list
7.1.9.7.4 Marker termination
D1 Examinations division of Academic Administration Department in the Office of the Campus Registrar
No copies to be kept by other offices.
7.1.9.8 Examination statistics D1 Any person responsible for the statistics
No copies to be kept by other offices.
7.1.9.9 Marker statistics D1 Any person responsible for the statistics
No copies to be kept by other offices.
7.1.9.10 Examination irregularities D3 Administrative Managers in Faculties
No copies to be kept by other offices.
7.1.9.11 Student enquiries D3 Administrative Managers in Faculties
No copies to be kept by other offices.
7.1.9.12 Invigilators (off campus) D3 Administrative Managers in Faculties
No copies to be kept by other offices.
7.1.9.13 Correspondence to students D3 Administrative Managers in Faculties
No copies to be kept by other offices.
7.1.10 Results administration
7.1.10.1 Examination committee mark statements
7.1.10.2 Mark change forms
7.1.10.3 Finalised assessment result statements
Record 1: P in hard copy
Record 2: D3 following year of assessment (article 6.9 of Teaching-learning Policy)
Record 3: P on VSS. This record can also form part of the module file (see main series 8)
Record 1: Records officers in the office of the Director: Academic Administration/ Manager: Academic Services reporting to the Campus Registrar. Records 2, 3 and 4: Records officers in the office of the Director: Academic Administration/ Manager:
No copies to be kept by other offices.
236
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.10.4 Announcements via internet and sms
7.1.10.5 Result statements to students
7.1.10.6 Result statistics
Record 4: D1
Record 5: P on VSS
Record 6: D1
Academic Services reporting to the Campus Registrar. Record 5: Records officers in the office of the Director: Academic Administration/ Manager: Academic Services reporting to the Campus Registrar.
7.1.11 Administration of theses and dissertations
7.1.11.1 Title registration records
7.1.11.1.1 Title registrations
7.1.11.1.2 Registration letter
7.1.11.1.3 Appointment of functionaries
7.1.11.1.4 Acceptance of functionaries
7.1.11.1.5 Changes
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.11.2 Submission records
7.1.11.2.1 Notice of submission
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.11.3 Soft copies/Exam copies administration
7.1.11.3.1 Acknowledgement form
7.1.11.3.2 Solemn declaration of student
7.1.11.3.3 Permission letter for submission
7.1.11.3.4 Personal details form
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
237
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.11.3.5 Turnitin report
7.1.11.4 Marking records
7.1.11.4.1 Letter to examiner 7.1.11.4.2 Examination guidelines 7.1.11.4.3 Examination report form 7.1.11.4.4 Recommendation form
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.11.5 Examination records
7.1.11.5.1 Examiner’s report
7.1.11.5.2 Summary report
7.1.11.5.3 Statement that corrections were made
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.11.6 Result records
7.1.11.6.1 Result letter to student
7.1.11.6.2 Back reference letter
7.1.11.6.3 Final approval report from Faculty Board (if not part of the minutes of the Faculty Board, if part of the minutes, use reference number of minutes)
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.11.7 Hard copies administration
7.1.11.7.1 Correspondence to functionaries
7.1.11.7.2 Changes form
7.1.11.7.3 Payment slip
This files are kept separatly for the official student files..
D5
Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
238
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.11.8 Preliminary evidence of degree P on system Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.11.9 Classification and declassification of theses and dissertations
D3 Mafikeng Campus: Faculty Officers
Potchefstroom and Vaal Triangle Campuses: Administrative Officer – Postgraduate Studies
No copies to be kept by other offices.
7.1.12 Graduation
7.1.12.1 Official date schedule
This information is included in the Institutional Almanac, referenced 2.14
D1 Manager: Academic Services on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
7.1.12.2 Ceremony arrangements
Files are referenced 7.1.12.2/date of ceremony e.g 7.1.12.2/22-Mar-09
D1 Events Coordinator in the office of the Director: Marketing and Communication on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
239
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.12.3 Audited list of graduates P on VSS Manager: Academic Services/Director: Student Administrative Systems
D1
7.1.12.4 Programme/booklet A as soon as finalised Manager: Academic Services on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
D1
7.1.12.5 Video/DVD of ceremony/Photos A as soon as finalised Director: Academic Development Centre on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
D1
7.1.12.6 Certificates
7.1.12.6.1 Register for stock issuing 7.1.12.6.2 Re-issue form 7.1.12.6.3 Stock reconciliation 7.1.12.6.4 Proof of receipt (signed list) 7.1.12.6.5 Absentia register 7.1.12.6.6 Not collected 7.1.12.6.7 Contact list
Certificates are kept P on VSS. Each undergraduate certificate has a unique serial number.
Records 1- 5: D3
Record 6: Original: D3 Re-issued: D6 months
Record 7: D3
Examinations Officer in the office of the Manager: Academic Services on the Mafikeng Campus.
Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
240
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.1.12.7 Statistics D5 Director: Academic Development Centre on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
D1
7.1.12.8 Embossing machine P in office.
A after new machine come in use.
Director: Academic Development Centre on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
D1
7.1.12.9 Academic regalia
7.1.12.9.1 Inventory
7.1.12.9.2 Control register
7.1.12.9.3 Gowns, caps, hoods
Records 1 and 2: D3
Records 3: A one of each example after receipt of new design. Left-over regalia can be disposed of by way of selling, renting, recycling (material in good condition) or destroy in case of material badly damaged/deteriorated.
Director: Academic Development Centre on the Mafikeng Campus. Graduation Officer in the Office of the Campus Registrar on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
7.2 STUDENT ADMINISTRATIVE SYSTEMS MANAGEMENT
7.2.1 Manuals and procedures for use of the system
7.2.1.1 Separate manuals are referenced by number and name of manual, e.g. 7.2.1.1/Student records
7.2.1.2 Security documentation
D1 after changes have been affected.
Operating system specialists in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
D1
241
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.2.2 Training
7.2.2.1 Date schedule
7.2.2.2 Attendance list
D3 Operating system specialists in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
No copies to be kept by other offices.
7.2.3 System development D5 Operating system specialists in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
No copies to be kept by other offices.
7.2.4 System maintenance D5 Operating system specialists in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar
No copies to be kept by other offices.
7.2.5 Calendar administration
7P/7.2.5 Faculty Calendars
7.2.5.1 Correspondence
7.2.5.2 Process
8.1.3 ICAS process documentation
8.1.3.6 Submission to the DoHET
8.1.3.7 Submission to SAQA
A after finalisation Manager: Student Administrative Systems in the Office of the Institutional Registrar
No copies to be kept by other offices.
242
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3 STUDENT AFFAIRS MANAGEMENT
7.3.1 Student management
The records relating to the governance function of the SRC are filed as part of main series 1.
7.3.1.1 Training for SRC
7.3.1.1.1 Attendance register
7.3.1.1.2 Workshop material
7.3.1.1.3 Evaluation forms
D3 Dean of Students/Director or Manager: Student Affairs on the Campuses.
No copies to be kept by other offices.
7.3.1.2 General trends and needs analysis on student affairs
D3 Dean of Students/Director or Manager: Student Affairs on the Campuses.
No copies to be kept by other offices.
7.3.1.3 Academic student societies
A case file is opened for each society and referenced with number and name of society, e.g. 7.3.1.3/Excursio
A case file can contain the following:
o Photo of management team o Agendas and minutes of management o Actions undertaken o Help to disadvantaged students o Complaints
A on 30 June of every year before transfer of management to a new management team.
Student Coordinators on the Mafikeng Campus.
Chairperson of the specific academic student society on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
243
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.1.4 Golden Key International Honour Society
o Photo of management team o Agendas and minutes of management o Actions undertaken o Conferences o Community involvement
A on 30 June of every year before transfer of management to a new management team.
Chairperson of the Golden Key International Honour Society
No copies to be kept by other offices.
7.3.1.5 SRC portfolio management
Referenced by number, campus and name of portfolio
A on 30 June of every year before transfer of management to a new management team.
Chairperson of SRC portfolio No copies to be kept by other offices.
7.3.1.6 Internal faculty student actions
A case file is opened for each student action and referenced by number and authority abbreviation of faculty, e.g. 7.3.1.6C/FEMS
A on 30 June of every year Student Coordinators in the faculties
No copies to be kept by other offices.
7.3.2 Student training
7.3.2.1 Introduction programme for first years
7.3.2.1.1 Arrangements
7.3.2.1.2 Programme
Record 1: D1
Record 2: A as soon as finalised.
Senior Counsellor in the Guidance and Counselling Centre reporting to the Manager Student Affairs on the Mafikeng Campus.
Manager of Student Counselling Services in the Office of the Dean of Students and Director: Student Affairs on the Potchefstroom and Vaal Triangle Campuses.
244
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.3 Student counselling and development
7.3.3.1 Counselling service
7.3.3.1.1 Career counselling and planning 7.3.3.1.2 Special admissions examination 7.3.3.1.3 Psychotherapy and counselling 7.3.3.1.4 Life skills counselling 7.3.3.1.5 Study difficulties 7.3.3.1.6 Special needs 7.3.3.1.7 Selection tests for specific professional qualifications
A case file is either opened for each student and referenced by the type of counselling service and student name, e.g. 7.3.3.1.5/Smith, P or a case file is opened for type of counselling service and all records for the specific year bound, e.g. 7.3.3.1.2/2009
A case file can contain the following records:
o Referral letter o Psychometric tests o Process notes o Protocols o Profile sheets o Letters/feedback to concerned stakeholders, i.e. Academic Administration, Campus Academic Development and Support
The files opened in this series are strictly confidential.
The record owner of these files is the Manager of Student Counselling Services on the campuses in the Office of the Dean of Students on the Potchefstroom and Vaal Triangle Campus and the Senior Counsellor in the Guidance and Counselling Centre reporting to the Manager Student Affairs on the Mafikeng Campus.
Disposal: D4
245
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.3.2 Workshops
A case file is opened for each workshop and referenced with number and name of workshop, e.g. 7.3.3.2C/communication.
A case file can contain the following records:
o Attendance registers o Workshop material o Arrangement documentation o Evaluation forms
D4 Senior Counsellor in the Guidance and Counselling Centre reporting to the Manager Student Affairs on the Mafikeng Campus. Head of Student Counselling Services on the campuses in the Office of the Dean of Students on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
7.3.3.3 Student support systems/peer helpers
7.3.3.3.1 List of helpers 7.3.3.3.2 Training and monitoring 7.3.3.3.3 Campaigns 7.3.3.3.4 Selection 7.3.3.3.5 Referrals
D1. Statistics on the records are included in the Annual Report contribution and referenced 1.6.
Senior Counsellor in the Guidance and Counselling Centre reporting to the Manager Student Affairs on the Mafikeng Campus. Counsellor of Student Counselling Services on the campuses in the Office of the Dean of Students on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
246
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.4 Student wellness
7.3.4.1 Social services
A case file is opened for each student. Men have green files and women have yellow files. Files are kept alphabetically.
Each file is referenced by number, name and student number and year e.g. 7.3.4.1C/D Kamffer-12345678-2010
A case file can contain the following records:
o Reporting form o Process notes o Academic records o Financial information o Referral letters
D2 Social worker reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
No copies to be kept by other offices.
7.3.4.2 Projects
A case file is opened for each project and referenced by number and project name, e.g. 7.3.4.2C/Arrive alive
After finalisation of project, the Institutional Archivist will be consulted to advise if the records have archival value, if not, D3
Social worker reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
7.3.4.3 Statistics and diagnostic index D5 Social worker reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
7.3.4.4 Inventory D3 Social worker reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
247
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.4.5 Register of control D3 Social worker reporting to the Manager of the Health Care Centre on the Potchefstroom Campus
D1
7.3.4.6 Student disabilities D3 Person dealing with student disabilities
D1
7.3.5 Sports management
7.3.5.1 Sporting codes management
A case file is opened for each sporting code and referenced with number, campus and sport code, e.g. 7.3.5.1C/M-soccer.
A case file can contain the following documentation regarding participation/performance/marketing and recruitment for each sport code: o Sport code constitution (7.3.5.1.1) o Budget (4.9) o Minutes of meetings of management
team and Exco (2.2.2.26) o Management election documentation
(2.2.2.26.7) o Results of matches/competitions
(7.3.5.1.2) o League fixtures (7.3.5.1.3) o Information of players (7.5.1.3.4/name
of player) o Transformation management (2.7) o Marketing and recruitment of sports
code (6.1.4) o Clinics, symposiums, courses (10.3.3) o Photos
A1 after end of sport season Sports Officers in the office of the Manager Sports reporting to the Manager: Student Affairs on the Mafikeng Campus.
Sport code manager in the office of the Director: Sport reporting to the Dean of Students and Director: Student Affairs on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
SERIES CLOSED
248
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.5.2 Special sporting events
A case file is opened for each special sporting event and referenced with number, campus and sport event, e.g. 7.3.5.2C/M-SASSU
A1 after end of event Manager Sports reporting to the Manager: Student Affairs on the Mafikeng Campus.
Sport code manager in the office of the Director: Sport reporting to the Dean of Students and Director: Student Affairs on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
7.3.5.3 Hostel sports management
A case file is opened for each hostel sporting code and referenced with number, campus, hostel name and sport code, e.g. 7.3.5.3C/P-Veritas-hockey.
A case file can contain the following documentation regarding participation/performance/marketing and recruitment for each sport code:
o Budget (4.9) o Minutes of meetings of management
team and Exco (2.2.2.26) o Management election documentation
(2.2.2.26.7) o Results of matches/competitions
(7.3.5.3.1) o League fixtures (7.3.5.3.2) o Marketing and recruitment of sports
code (6.1.4) o Photos
A1 after end of sport season Sport portfolio holder on the Hostel Committee reporting to the Sport portfolio holder on the SRC
Not applicable to the Mafikeng Campus.
No copies to be kept by other offices.
249
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
For the sport prestige function, please use the reference 2.16/campus-name of function, e.g. 2.16/P-prestige sports function.
For sport bursaries, please use 4.10.5
7.3.6 Culture management
7.3.6.1 Culture group/society management
A case file is opened for each culture group/society and referenced with number, campus and culture group/society, e.g. 7.3.6.1C/V-toast masters.
A case file can contain the following documentation regarding participation/performance/marketing and recruitment for each culture group/society:
o Culture group/society constitution (7.3.6.1.1)
o Budget (4.9) o Minutes of meetings of management
team and Exco (2.2.2.27) o Management election documentation
(2.2.2.27.7) o Results of competitions (7.3.6.1.2) o Information on members
(7.3.6.1.3/name of member) o Transformation management (2.7) o Marketing and recruitment of culture
group/society (6.1.4) o Photos, programmes, posters
A each year before the election of the new management committee
Student coordinators on the Mafikeng Campus.
Chairperson of each culture group/society reporting to the portfolio Society Council on the SRC on the Potchefstroom and Vaal Triangle Campuses.
250
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.6.2 Special culture events/projects
A case file is opened for each special culture event and referenced with number, campus and culture event/project, e.g. 7.3.6.2C/P-Talentfees
A1 after end of event Culture officer reporting to the Manager Student Affairs on the Mafikeng Campus.
Culture manager in the office of the Director/Manager: Culture reporting to the Dean of Students/Manager: Student Affairs on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
For culture bursaries, please use 4.10
For records of ARTEMA, please use 8.2
7.3.7 NWU graduate career management
7.3.7.1 Employer presentation
A case file is opened and referenced by number, campus and year, e.g. 7.3.7.1C/P-2009, 7.3.7.1C/M-2009 or 7.3.7.1C/V-2009.
A case file can contain the following records:
o Attendance registers (7.3.7.1.1) o Registration forms (7.3.7.1.2) o Invoices (4.1.4.1) o Arrangement documentation
(7.3.7.1.3) o Evaluation forms (7.3.7.1.4) o Report (7.3.7.1.5)
D5 Manager: Career Centre reporting to the Executive Director: Teaching-Learning and Vice-Principal
No copies to be kept by other offices.
251
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.7.2 Career Fairs
A case file is opened and referenced by number, campus and year, e.g. 7.3.7.2C/P-2009, 7.3.7.2C/M-2009 or 7.3.7.2C/V-2009.
A case file can contain the following records:
o Attendance registers 7.3.7.2.1)( o Registration forms (7.3.7.2.2) o Invoices (4.1.4.1) o Arrangement documentation (7.3.7.2.3) o Evaluation forms (7.3.7.2.4)
D5 Manager: Career Centre reporting to the Executive Director: Teaching-Learning and Vice-Principal
No copies to be kept by other offices.
7.3.7.3 CareerZone
A case file is opened and referenced by number, campus and year, e.g. 7.3.7.3C/P-2009, 7.3.7.3C/M-2009 or 7.3.7.3C/V-2009.
As this is a web based activity, please refer to 6.2.3.2.1.
Manager: Career Centre reporting to the Executive Director: Teaching
No copies to be kept by other offices.
7.3.7.4 Employer of Choice
A case file is opened and referenced by number, campus and year, e.g. 7.3.7.4C/P-2009, 7.3.7.4C/M-2009 or 7.3.7.4C/V-2009.
D5 Manager: Career Centre reporting to the Executive Director: Teaching
No copies to be kept by other offices.
7.3.7.5 Career guide
A case file is opened and referenced by number, campus and year, e.g. 7.3.7.5C/P-2009, 7.3.7.5C/M-2009 or 7.3.7.5C/V-2009.
A when finalised Manager: Career Centre reporting to the Executive Director: Teaching
D1
SERIES CLOSED
SERIES CLOSED
252
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.7.6 Work Readiness Seminar
A case file is opened for each workshop and referenced with number and name of workshop, e.g. 7.3.7.6C/interview skills.
A case file can contain the following records:
o Attendance registers (7.3.7.6.1) o Workshop material (7.3.7.6.2) o Arrangement documentation (7.3.7.6.3) o Evaluation forms (7.3.7.6.4) o Report (7.3.7.6.5)
D3 Manager: Career Centre reporting to the Executive Director: Teaching
D1
7.3.8 Student discipline administration The records in this series are strictly confidential.
7.3.8.1 Black book for examination irregularities D5 Manager: Examinations reporting to the Campus Registrar.
Not applicable on the Mafikeng Campus.
No copies to be kept by other offices.
253
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.8.2 Student disciplinary hearings
Each hearing is dealt with as a case file and referenced with number, date of hearing, and surname of accused, e.g. 7.3.8.2C-student number-date-surname,initials e.g. 7.3.8.2C-1173508-12-09-2011-Kamffer, D
7.3.8.2.1 Investigation dossier (Protection Services / CHASE)
7.3.8.2.2 Notice of hearing 7.3.8.2.3 Notification register
(contains track and trace numbers, acknowledgement of receipt for campus students who sign for documents personally)
7.3.8.2.4 Plea document 7.3.8.2.5 Statements / Evidence 7.3.8.2.6 Letter of Decision 7.3.8.2.7 Hearing Record 7.3.8.2.8 Appeal 7.3.8.2.9 Result of Appeal 7.3.8.2.10 Correspondence (between office and the students/lawyers/lecturers, parents, etc)
D5 Campus Registrars on the Mafikeng and Vaal Triangle Campuses.
Student disciplinary officer reporting to the Campus Registrar on the Potchefstroom Campus and Vaal Triangle Campus
No copies to be kept by other offices.
7.3.8.3 Disciplinary register D5 Campus Registrars on the Mafikeng and Vaal Triangle Campuses.
Student disciplinary officer reporting to the Campus Registrar on the Potchefstroom Campus and Vaal Triangle Campus
No copies to be kept by other offices.
254
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
7.3.8.4 Alternative Dispute Resolution (mediations)
D5 Campus Registrars on the Mafikeng and Vaal Triangle Campuses.
Student disciplinary officer reporting to the Campus Registrar on the Potchefstroom Campus and Vaal Triangle Campus
No copies to be kept by other offices.
7.3.8.5 Prevention programmes (plagiarism documents, plagiarism prevention talks, time table letters with academic integrity warning)
D5 Campus Registrars on the Mafikeng and Vaal Triangle Campuses.
Student disciplinary officer reporting to the Campus Registrar on the Potchefstroom Campus and Vaal Triangle Campus
No copies to be kept by other offices.
7.3.8.6 Hearing Recordings (.mp3 recording – usually grouped by day)
D5 Campus Registrars on the Mafikeng and Vaal Triangle Campuses.
Student disciplinary officer reporting to the Campus Registrar on the Potchefstroom Campus and Vaal Triangle Campus
No copies to be kept by other offices.
255
8. TEACHING-LEARNING
User guidelines
The records managed in this main series relate to teaching-learning activities and responsible owners vary from Academic Development and Support/ADC Departments to individual lecturers.
Module files are kept in this series. The HEQC audit made it compulsory for every lecturer responsible for a module on the PQM to keep module files of the modules they are responsible for. A module file is referenced 8C/module code, e.g. 8C/LLBL211. Please see the note on module files below. In the file plan for this series, every record that should form part of the module file is also indicated in bold.
Short course case files are kept in this series. It is compulsory for every short course owner responsible for a short course on the list/database of approved short courses to keep short course case files of the short courses they are responsible for. A short course case file is referenced 8.2C/short course code, e.g. 8.2C/abc26465. Please see the note on short course files below. In the file plan for this series, every record that should form part of the short course case file is also indicated in bold.
Subseries 1 is used for management of records related to programme management and records relating to programme approval, alignment, presentation and assessment and moderation should be managed in this series. Lecturers of modules must keep case files (known as module files) of each approved module on the PQM they present (for instructions on module files, please refer to 8C below). All records in this series are kept in adherence with the Teaching and Learning Policy (8P), Academic Programme Management Policy (8P/8.1), Study Guide Policy (8P/8.1.6.1), Policy for Feedback about Teaching and Learning by Students (8P/8.1.6.4) and Assessment and Moderation Policy (8P/8.1.7).
Subseries 2 is used for the management of records related to short courses. The Institutional short course manager and any provider of an ICAS approved short course will make use of this series. All records in this series are kept in adherence to the Policy for the Presentation of Short Courses at the NWU (8P/8.2). Please see the note on short course case files above.
Subseries 3 is used for the management of records relating to academic staff development in particular the Institutional Teaching Excellence Awards (ITEA) and the Institutional Course for New Lecturers (ICNL). General staff development issues such as personal development plans and applications for training funds are filed in main series 3 – Human Resources. Records in this series are kept in adherence with ITEA manual and policy (8Pr/8.3.1).
Subseries 4 is used for the management of records relating to academic student development (for academic administration of students and student affairs management, main series 7 should be used). Records providing evidence of for academic support to students (in particular supplemental instruction and the compulsory modules AGLE, RINL and Reading Development) is managed here by the relevant departments providing the support. The records in subseries 8.4.3 is kept in adherence to the Recognition of Prior Learning (RPL) Policy (8P/8.4.3).
Subseries 5 is used for the management of records relating to undergraduate student tHCughput.
256
Number Policies
8P
8P Teaching and Learning Policy 8P/8.1 Academic Programme Management Policy 8P/8.1.6.1 Study Guide Policy 8P/8.1.6.4 Policy for Feedback about Teaching and Learning by Students 8P/8.1.7 Assessment and Moderation Policy 8P/8.2 Policy for the Presentation of Short Courses at the NWU 8P/8.3.1 Policy on the Institutional Teaching Excellence Awards (ITEA) 8P/8.4.1 Policy on Supplemental Instruction at the NWU 8P/8.4.3 Recognition of Prior Learning (RPL) policy
Disposal of original: A after approval as part of Council records
Office responsible for original: Policy owner
Other offices’ disposal: D after update or revision.
Number Procedures, manuals, guidelines and strategies
8Pr 8Pr Teaching-Learning Framework 8Pr/8.1 Academic Programme Alignment Manual 8Pr/8.1.6.1 Manual for study guide development 8Pr/8.1.6.5 Manual for e-learning implementation 8Pr/8.2 Short course management at the NWU 8Pr/8.3 Academic staff development programme 8Pr/8.3.1 Manual and policy for ITEA 8Pr/8.4.1 Supplemental Instruction at the NWU
Disposal of original: D5 after every update.
Office responsible for original: Manager in specific division/Procedure owner.
Other offices’ disposal: D after update or revision.
257
Module files
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8C
Are referenced 8C followed by module code and year, e.g.
8C/LLBL211-2008
Module files include:
o Study guide (8.1.6.1)
o Assessment planning (8.1.7.1.1 and 8.1.7.2.1)
o Class tests/assignments/examination papers (8.1.7.1.2 and 8.1.7.2.2)
o Memoranda (8.1.7.1.4 and 8.1.7.2.4)
o Examination/test/assignment answers (8.1.7.1.3 and 8.1.7.2.3)
o Moderators reports (8.1.7.1.5, 8.1.7.2.5.1 and 8.1.7.2.5.2)
o Student feedback/evaluation of module (8.1.6.4)
o Handbook lists (8.1.6.7)
D3 following year of assessment (article 6.9 of Teaching-learning Policy).
Regarding tests/assignment answers: Usually these records are handed back to the student. Answers not collected should be kept for 3 years. It is recommended that students sign for collection of their marked answers and the signed records sheet kept as part of the module file.
Every lecturer of the NWU responsible for presentation of a programme/module of the PQM.
No copies to be kept by other offices.
258
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1 Programme management
8.1.1 Programme and Qualification Mix (PQM) A after every update. Manager: Management Information reporting to the Advisor and Director: Projects
D after every update
8.1.2 Development and design
8.1.2.1 Research D5 after completion of research.
School Director and programme leader/lecturer
No copies to be kept by other offices.
8.1.2.2 Programme document and/or other documentation
D2 after submission to ICAS. School Director and programme leader/lecturer
No copies to be kept by other offices.
8.1.3 Approval
8.1.3.1 ICAS schedule A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.3.2 Form 0: To register new qualifications or programmes or an application for additions or changes to academic qualifications and programmes to be approved by the Department of Education
A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
259
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.3.3 Form 1: To register a new qualification/programme at SAQA
A as part of the ICAS records.
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.3.4 Form 2: To get accreditation for a new qualification/programme at the CHE (the HEQC on-line application)
A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.3.5 Form 3: Internal approval of modifications to academic programmes
A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.3.6 Correspondence with national/statutory bodies
A1. Records must be kept in safe and secure custody until transfer to the Institutional Archives occur.
Institutional Registrar No copies to be kept by other offices.
8.1.3.7 Submission to SAQA
8.1.3.7.1 Approvals received from SAQA
A1. Records must be kept in safe and secure custody until transfer to the Institutional Archives occur.
Institutional Registrar D after changes has been made to programme.
260
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.3.8 Submission to DoHET A1. Records must be kept in safe and secure custody until transfer to the Institutional Archives occur.
Institutional Registrar D after changes has been made to programme.
8.1.4 Alignment
8.1.4.1 White paper A after completion of alignment process in 2012.
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.1.4.2 Schedule A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.4.3 ICAS Form 5: Information regarding programme alignment issues
A as part of the ICAS records (1.3.16) Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.4.4 Progress report and register on alignment A as part of the ICAS and Senate records (1.3.16 and 1.3.13)
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
261
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.5 Review (For programme review and evaluation issues, please refer to Quality Management 2.3)
8.1.6 Presentation/delivery
8.1.6.1 Study guides
Individual study guides are referenced by number and module code, e.g. 8.1.6.1/LLBL211
P on system.
This record also forms part of the module file.
Manager: Teaching-Learning Technology in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.6.2 Supportive audio and digital study material
Study material are referenced by number and module code, e.g. 8.1.6.2/LLBL211
P on multi-media repository
This record also forms part of the module file if applicable.
Lecturer responsible for module. Manager: Teaching-Learning Technology in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.1.6.3 Production schedules/framework for study guides
Electronic study material production programme. P on programme.
Manager: Teaching-Learning Technology in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
262
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.6.4 Student feedback
Student feedback are referenced by number and module code, e.g. 8.1.6.4/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module.
No copies to be kept by other offices.
8.1.6.5 Electronic teaching-learning technologies and platforms
D5 Manager: Teaching-Learning Technology in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.1.6.6 Lecture responsibilities D3 Lecturer responsible for module.
No copies to be kept by other offices.
8.1.6.7 Handbook lists D3 Lecturer responsible for module.
No copies to be kept by other offices.
8.1.6.8 Blended learning D3 Lecturer responsible for module.
No copies to be kept by other offices.
263
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.7 Assessment and moderation
8.1.7.1 Formative
8.1.7.1.1 Assessment planning
Assessment planning are referenced by number and module code, e.g. 8.1.7.1.1/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.1.2 Tests/Assignment papers
Test/assignment papers are referenced by number and module code, e.g. 8.1.7.1.2/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.1.3 Test/assignment answers
Test/assignment answers not collected by students are placed in a file according to student surnames and referenced by number and module code, e.g. 8.1.7.1.3/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.1.4 Memorandums
Memos are referenced by number and module code, e.g. 8.1.7.1.4/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
264
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.7.1.5 Moderators’ reports
Moderators’ reports are referenced by number and module code, e.g. 8.1.7.1.2/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.1.6 Faculty specific guidelines for written work D3 Faculty Officer in specific faculty No copies to be kept by other offices.
8.1.7.2 Summative
8.1.7.2.1 Assessment planning
Assessment planning are referenced by number and module code, e.g. 8.1.7.2.1/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.2.2 Examination papers
Exam papers are referenced by number and module code, e.g. 8.1.7.2.2/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module.
No copies to be kept by other offices.
265
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.7.2.3 Examination answer books
Examination answer books are placed in a file according to student surname and the file is referenced by number and module code, e.g. 8.1.7.2.3/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file, but can be kept separately.
Lecturer responsible for module.
On the Mafikeng Campus the lecturer is responsible for transferring the papers to the examinations registry under care of the Campus Archivist.
No copies to be kept by other offices.
8.1.7.2.4 Memorandums
Memos are referenced by number and module code, e.g. 8.1.7.2.4/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.2.5 Moderators’ reports
8.1.7.2.5.1 Internal
Reports are referenced by number and module code, e.g. 8.1.7.2.5.1/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.1.7.2.5.2 External
Reports are referenced by number and module code, e.g. 8.1.7.2.5.2/LLBL211
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
266
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.1.7.2.6 Remarking process
8.1.7.2.6.1 Request form
8.1.7.2.6.2 Result form
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
This record forms part of the module file.
Lecturer responsible for module. No copies to be kept by other offices.
8.2 Short course management
Individual short courses are reference by the relevant reference number followed by the short course number generated by the Short Course management module of the VSS.
A short course case file is opened for each short course presented by a short course owner and referenced 8.2C/short course code.
A short course case file must contain the following records:
o Approval forms (8.2.1.2-8.2.1.4) o Administration records (all the records in 8.2.2) o Presentation records (all the records in 8.2.3) o Assessment and moderation records (all the records in 8.2.4) o Financial records according to main series 4. o Quality assurance according to main series 2.3.
Disposal: D3 if short course is captured on the VSS. D6 if short course is not on VSS.
8.2.1 Approvals
8.2.1.1 List/Database P on VSS system Short course manager in the Office of the Director: Academic Development and Support
No copies to be kept by other offices.
267
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.2.1.2 ICAS Form 4: Application for the presentation of a short course
A as part of the ICAS records (1.3.16).
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.2.1.3 ICAS Form 4: Budget form A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.2.1.4 ICAS Form 4: Approval form A as part of the ICAS records (1.3.16)
Also available on the shared drive at ICAS on PCM-NOV-USRP-SERVER\USRP
Secretariat of ICAS and Senior Admin Officer in the office of the Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
D1
8.2.2 Administration
8.2.2.1 Brochure 8.2.2.2 Enrolments 8.2.2.3 Payments correspondence (for actual payments use main series 4) Individual records are referenced by number and short course code, 8.2.2.2/abc6578
D3 following year of enrolment (article 6.9 of Teaching-learning Policy)
These records form part of the short course case file.
Short course owner No copies to be kept by other offices.
268
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.2.3 Presentation
8.2.3.1 Programmes 8.2.3.2 Attendance lists 8.2.3.3 Material 8.2.3.4 Learner feedback/evaluation Individual records are referenced by number and short course code, 8.2.3.2/abc6578
D3 following year of presentation (article 6.9 of Teaching-learning Policy)
These records form part of the short course case file.
Short course owner No copies to be kept by other offices.
8.2.4 Assessment and moderation
8.2.4.1 Assignments/tests 8.2.4.2 Moderators reports 8.2.4.3 Results 8.2.4.5 Certificates Individual records are referenced by number and short course code, 8.2.4.2/abc6578
D3 following year of assessment (article 6.9 of Teaching-learning Policy)
These records form part of the short course case file.
Short course owner No copies to be kept by other offices.
8.2.5 Short course administration system Electronic system – P – VSS – short course module
Short course owner and Operating systems specialist in the office of the Director: Students Administrative Systems
Not applicable.
Evaluation of short courses (see 2.3.5).
269
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.3 Academic staff development
8.3.1 Institutional Teaching Excellence Award (ITEA)
A case file is opened for every lecturer taking part in the awards and referenced 8.3.1C/year-name of lecturer, e.g 8.3.1C/2008-Stavast, J. A case file may include any of the records from 8.3.1.1 to 8.3.1.9.
Disposal of an ITEA case file: D5
8.3.1.1 Application forms A as part of Faculty Teaching-Learning Committee documentation (2.2.2.20) or the Faculty Board (1.3.28).
Secretariat of Faculty Teaching-Learning Committee
D1
8.3.1.2 Code of Conduct for ITEA panel members D5 after year of awards ITEA co-coordinator on each Campus
D1
8.3.1.3 Teaching portfolio P on eFundi system.
Lecturers can determine how long they wish to keep the hard copy portfolios, but not for a period shorter than 3 years.
Lecturer enrolled for ITEA No copies to be kept by other offices.
8.3.1.4 Score card for portfolio D5 after year of awards ITEA co-coordinator on each Campus
No copies to be kept by other offices.
8.3.1.5 Student evaluation form D5 after year of awards ITEA co-coordinator on each Campus
No copies to be kept by other offices.
270
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.3.1.6 Assessment of contact session D5 after year of awards ITEA co-coordinator on each Campus
No copies to be kept by other offices.
8.3.1.7 ITEA panel documentation D5 after year of awards ITEA co-coordinator on each Campus
No copies to be kept by other offices.
8.3.1.8 ITEA results D5 after year of awards Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.3.1.9 ITEA appeals D5 after year of awards Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.3.1.10 Database of Annual Winners A Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.3.1.11 ITEA prestige function administration documentation
A
Photos and programme of the function are sent to the Archives for permanent preservation.
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
271
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.3.1.12 Financial arrangement concerning awards
(claim form and congratulations letter)
D5 Administrative Officer in department/faculty
No copies to be kept by other offices.
8.3.1.13 Score card for contact opportunity D5 Administrative Officer in department/faculty
No copies to be kept by other offices.
8.3.1.14 Workshop – evaluation form D5 Administrative Officer in department/faculty
No copies to be kept by other offices.
8.3.2 Institutional Course for New Lecturers (ICNL)
8.3.2.1 Information to new staff D1. Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.3.2.2 Option form D3 after completion of course by new lecturer.
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.3.2.3 Registration forms D3 after completion of course by new lecturer.
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
8.3.2.4 Phase 1
8.3.2.4.1 Attendance list 8.3.2.4.2 Programme 8.3.2.4.3 Training material 8.3.2.4.4 Evaluation reports 8.3.2.4.5 Certification
D3 after completion of course by new lecturer.
Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal
No copies to be kept by other offices.
272
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.3.2.5 Phase 2
8.3.2.5.1 Attendance list 8.3.2.5.2 Programme 8.3.2.5.3 Training material 8.3.2.5.4 Evaluation reports 8.3.2.5.5 Certification
D3 after completion of course by new lecturer.
Directors: Campus Academic Support and Development reporting to the Vice-Rectors: Quality and Planning
No copies to be kept by other offices.
8.3.2.6 Phase 3
8.3.2.6.1 Attendance list 8.3.2.6.2 Programme 8.3.2.6.3 Training material 8.3.2.6.4 Evaluation reports 8.3.2.6.5 Certification
D3 after completion of course by new lecturer.
Director: Centre for Faith and Science reporting to the Dean of Arts on the Potchefstroom Campus.
No copies to be kept by other offices.
8.3.2.7 Attendance report A as part of the records of the Extended Management Committees on Campus
Director: Academic Support and Development in the Office of the Vice-Principal for report.
Secretariat of Extended Management Committee for records of EMC, see 2.2.2.7.
8.3.2.8 Database of attendees P on database Director: Academic Support and Development in the Office of the Vice-Principal for report.
273
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.3.3 Training and information sessions
8.3.3.1 Attendance list 8.3.3.2 Programme 8.3.3.3 Training material 8.3.3.4 Evaluation reports 8.3.3.5 Certification
D3 after completion training session.
Directors: Campus Academic Support and Development reporting to the Vice-Rectors: Quality and Planning
No copies to be kept by other offices.
8.3.4 Scholarship of Teaching and Learning
8.3.4.1 Registration form
8.3.4.2 Programme
8.3.4.3 Abstracts
8.3.4.4 Gala dinner arrangements
D3 Director: Institutional Academic Support Services
No copies to be kept by other offices.
8.4 Student academic development
8.4.1 Supplemental instruction (SI)
8.4.1.1 Letter of referral to Campus ADS units Copy to be sent to Student file.
D5 as part of the student file.
Administrative manager/faculty officer in Faculty.
No copies to be kept by other offices.
8.4.1.2 SI progress report Copy to be sent to Student file.
D5 as part of the student file.
Record also forms part of the Campus Extended Management Committee’s records (2.2.2.7) on the Potchefstroom Campus.
Administrative manager/faculty officer in Faculty.
Secretariat of the Extended Management Committee of the Potchefstroom Campus.
No copies to be kept by other offices.
274
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.4.1.3 Warning letters to students Copy to be sent to Student file.
D5 as part of the student file.
Faculty deans on the Mafikeng Campus.
Administrative manager in the Faculty on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
8.4.1.4 Evaluation of SI facilitators performance D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning
No copies to be kept by other offices.
8.4.1.5 Training documents for SI facilitators D3 SI facilitator manager in the office of the Director: Academic Development and Support reporting to the Executive Director: Teaching- Learning and Vice-Principal
No copies to be kept by other offices.
8.4.1.6 At risk modules D5 SI facilitator manager in the office of the Director: Academic Development and Support reporting to the Executive Director: Teaching- Learning and Vice-Principal
No copies to be kept by other offices.
8.4.1.7 Reports and statistics D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning
No copies to be kept by other offices.
8.4.2 Referrals for student support D3 Director: Academic Development and Support/ADC reporting to the Vice-Rector: Quality and Planning
No copies to be kept by other offices.
8.4.3 Support for RPL candidates D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning
No copies to be kept by other offices.
275
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.4.4 Development included in learning programmes
8.4.4.1 AGLE 8.4.4.2 RINL 8.4.4.3 Reading development 8.4.4.4 Test for Academic Literacy (TAL)
D3 Managers of specific modules. No copies to be kept by other offices.
8.4.5 Academic mentors programme D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning
No copies to be kept by other offices.
8.4.6 Workshops D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning
No copies to be kept by other offices.
8.4.7 Holiday schools
8.4.7.1 Attendance lists
D3 Faculty officer in each faculty No copies to be kept by other offices.
8.5 Undergraduate student throughput
8.5.1 Specific targets
Targets in faculties/schools are referenced by abbreviation in the authority list, e.g. 8.5.1/FL, or e.g. 8.5.1/SMS
D5 Vice-Rectors Academic on the Campuses.
D1
8.5.2 Strategies/initiatives/interventions development
D3 after strategy/initiative/ intervention has been conceptualised and put into policy or procedure.
Director: Academic Development and Support, Director: Campus ADS unit/ADC and Deans of Faculties
D1
276
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
8.5.3 Pass norms
Pass norms in faculties/schools are referenced by abbreviation in the authority list, e.g. 8.5.3/FL, or e.g. 8.5.3/SMS
D5 Dean of Faculty D1
8.5.4 THCugh put rates
Rates in faculties/schools are referenced by abbreviation in the authority list, e.g. 8.5.4/FL, or e.g. 8.5.4/SMS
D5 Vice-Rectors Academic on the Campuses.
D1
8.6 Teaching-learning projects
A case file is opened for each project and referenced by number and name of project, e.g. 8.6C/Verstaande wêreld
D5 after completion of project Director: Academic Development and Support, Director: Campus ADS unit/ADC and Deans of Faculties
D1
277
9. RESEARCH AND POST-GRADUATE EDUCATION
User guidelines
This main series is dedicated to the management of records relating to research support activities and post graduate education with a research component.
Subseries 1 is used for the management of records relating to the implementation of the research strategy and will contain records regarding research entities (i.e. entity applications, entity strategic plans, evaluation), monitoring and reporting of research activities, research ethics and research output management and the electronic research management system. All records in this series are kept in adherence with the Research and Innovation Policy (9P), the Institutional Strategy for Research and Innovation (9Pr) and the Rules of the Research Ethics Committee (9P/9.1.5).
Subseries 2 is used for research funding administration, and records regarding internal and external funding applications, awarding and monitoring is managed in this series. Due to the number of external funding entities, one number is allocated for external funding entities, and case files are opened for each entity. The main record owner is the Research Support Office, but all researchers applying for funding may keep copies of research funding applications for one year after application.
Subseries 3 is used for the management of records relating to research capacity development and include records on research workshops, as well as special research awards. General staff development issues such as personal development plans and applications for training funds from the Skills Development Fund are filed in main series 3 – Human Resources.
Subseries 4 is used for the management of records regarding post-graduate studies management with a research component. This main series is used mainly by the faculties for the approval, monitoring and assessment of post-graduate studies undertaken in the faculties. The academic administration of post-graduate studies is managed in main series 7 (7.1.11) as part of academic administration.
278
Number Policies
9P
9P Research and Innovation Policy
9P/9.1.5 Rules of the Research Ethics Committee
Disposal of original: A after approval as part of Council records.
Office responsible for original: Records Management and Administration.
Other offices’ disposal: D after update or revision.
Number Procedures, manuals, guidelines and strategies
9Pr 9Pr Institutional Strategy for Research and Innovation
9Pr/9.1.1 Criteria and Development Trajectory of Research Entities
9Pr/9.1.4 Institutional Research Equipment Strategy
9Pr/9.2.1.1 Post-doctoral guidelines regarding Post-doctorial fellowships
9Pr/9.2.1.6 Rules for Institutional Research Excellence Award (IREA)
9Pr/9.3.3 Rules for S2A3 and ABSA Bronze Medals
9Pr/9.4A Manual for Post-Graduate Studies
9Pr/9.4B Management process for post-graduate administration
Disposal of original: D3 after every update.
Office responsible for original: Manager in specific division/procedure owner.
Other offices’ disposal: D after update or revision.
279
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1 Implementation of the research strategy
9.1.1 Facilitation of research entity model
9.1.1.1 Indication of intent A as part of the Research Support Commission records (1.3.23)
Secretariat of the Research Support Commission and the Director: Research Support reporting to the Office of the Executive Director: Research and Innovation
D1
9.1.1.2 Evaluation A as part of the Research Support Commission records (1.3.23)
Secretariat of the Research Support Commission and the Director: Research Support reporting to the Office of the Executive Director: Research and Innovation
D1
9.1.1.3 Full proposal development A as part of the Research Support Commission records (1.3.23)
Secretariat of the Research Support Commission and the Director: Research Support reporting to the Office of the Executive Director: Research and Innovation
D1
9.1.1.4 Evaluation of full proposal A as part of Institutional Senate records (1.3.13)
Secretariat of the Institutional Senate and the Director: Research Support in the Office of the Executive Director: Research and Innovation
D1
280
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.1.5 Strategic plans A as soon as finalised Director of the Research Entity and the Director: Research Support in the Office of the Executive Director: Research and Innovation
D1
9.1.2 Monitoring and reporting of research
9.1.2.1 Annual research report A hard copy as soon as finalised. Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.1.2.2 Annual reports of research entities
Reports are referenced by number and abbreviation of entity, eg 9.1.2.2/AUTHeR)
A hard copy as soon as finalised. Director of the Research Entity and the Director: Research Support in the Office of the Executive Director: Research and Innovation
D1
9.1.2.3 InfoEd – Research Management system
The implementation and management of InfoEd is dealt with as a case file, and will include records from various subjects in the file plan. Due to the scale of the implementation process and related procedures, all records are filed together with unique reference numbers indicating InfoEd linkage for ease of reference.
9.1.2.3.1 Project Management
o Project Plan o Project Manager’s Meetings
A Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
281
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.2.3.2 Committees
9.1.2.3.2.1 Executive Steering Committee 9.1.2.3.2.1.1 Agenda and Minutes 9.1.2.3.2.1.2 Progress Reports
9.1.2.3.2.2 HICC 9.1.2.3.2.2.1 Agenda and Minutes 9.1.2.3.2.2.2 Progress Reports
9.1.2.3.2.3 HEAIDS 9.1.2.3.2.3.1 Agenda and Minutes 9.1.2.3.2.3.2 Progress Reports
A Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.1.2.3.3 Modules
9.1.2.3.4.1 Ethics 9.1.2.3.4.1.1 Agenda and Minutes 9.1.2.3.4.1.2 Workshops 9.1.2.3.4.1.3 Pilot documents 9.1.2.3.4.1.4 Training documents 9.1.2.3.4.1.5 Implementation documents 9.1.2.3.4.1.6 Manuals
9.1.2.3.4.2 Grants and Contracts 9.1.2.3.4.2.1 Proposal development 9.1.2.3.4.2.1.1 Agenda and Minutes 9.1.2.3.4.2.1.2 Workshops 9.1.2.3.4.2.1.3 Pilot documents 9.1.2.3.4.2.1.4 Training documents 9.1.2.3.4.2.1.5 Implementation documents
A Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
282
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.2.3.4.2.1.6 Manuals
9.1.2.3.4.2.2 Proposal tracking 9.1.2.3.4.2.2.1 Agenda and Minutes 9.1.2.3.4.2.2.2 Workshops 9.1.2.3.4.2.2.3 Pilot documents 9.1.2.3.4.2.2.4 Training documents 9.1.2.3.4.2.2.5 Implementation documents 9.1.2.3.4.2.2.6 Manuals
9.1.2.3.4.3 Research Outputs 9.1.2.3.4.3.1 Agenda and Minutes 9.1.2.3.4.3.2 Workshops 9.1.2.3.4.3.3 Pilot documents 9.1.2.3.4.3.4 Training documents 9.1.2.3.4.3.5 Implementation documents 9.1.2.3.4.3.6 Manuals
9.1.2.3.4.4 Tech Transfer 9.1.2.3.4.4.1 Agenda and Minutes 9.1.2.3.4.4.2 Workshops 9.1.2.3.4.4.3 Pilot documents 9.1.2.3.4.4.4 Training documents 9.1.2.3.4.4.5 Implementation documents 9.1.2.3.4.4.6 Manuals
283
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.2.3.4.5 FEC 9.1.2.3.4.5.1 Agenda and Minutes 9.1.2.3.4.5.2 Workshops 9.1.2.3.4.5.3 Pilot documents 9.1.2.3.4.5.4 Training documents 9.1.2.3.4.5.5 Implementation documents 9.1.2.3.4.5.6 Manuals
9.1.2.3.4 Technical information
9.1.2.3.1.1 Cookbook 9.1.2.3.1.2 ESA 9.1.2.3.1.3 Web services 9.1.2.3.1.4 IT meetings
A Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.1.2.3.5 NWU Implementation
9.1.2.3.2.4 Workshop schedules 9.1.2.3.2.5 MIS 9.1.2.3.2.6 CV data 9.1.2.3.2.7 Legal 9.1.2.3.2.7.1 NDA
A Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.1.2.4 Surveys D5 Director: Research Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
9.1.2.5 Benchmarking and tendency analysis D5 Director: Research Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
284
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.3 Evaluation of research entities
9.1.3.1 Internal
For records relating to internal evaluation of research entities, please see the records of the Research Support Commission (1.3.23) above.
A as part of the records of the Research Support Commission (1.3.23)
Secretariat of the Research Support Commission and the Director: Research Support reporting to the Office of the Executive Director: Research and Innovation
D1
9.1.3.2 External
9.1.3.2.1 Panel 9.1.3.2.2 Correspondence with external
evaluators 9.1.3.2.3 Documentation 9.1.3.2.4 Programs 9.1.3.2.5 Report
A5 Director: Research Support reporting to the Executive Director: Research and Innovation
D1
9.1.4 Virtual Equipment Store
9.1.4.1 System administration
For funding of, please use 9.2.1.2.
D3 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
No copies to be kept by other offices
9.1.5 Ethics
9.1.5.1 Applications for protocols A as part of the records of the Research Ethics Committee (1.3.26)
Secretariat of the Research Ethics Committee and the Snr Administrative Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1 after completion of research
285
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.5.2 Assessments A as part of the records of the Research Ethics Committee (1.3.26)
Secretariat of the Research Ethics Committee and the Snr Administrative Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1 after completion of research
9.1.5.3 Letters of approval/revision/rejection A as part of the records of the Research Ethics Committee (1.3.26)
Secretariat of the Research Ethics Committee and the Snr Administrative Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1 after completion of research
9.1.5.4 Certificate of approval A as part of the records of the Research Ethics Committee (1.3.26)
Secretariat of the Research Ethics Committee and the Snr Administrative Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1 after completion of research
9.1.5.5 Reports on projects A as part of the records of the Research Ethics Committee (1.3.26)
Secretariat of the Research Ethics Committee and the Snr Administrative Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1 after completion of research
286
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.5.6 Forms A as part of the records of the Research Ethics Committee (1.3.26)
Secretariat of the Research Ethics Committee and the Snr Administrative Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1 after completion of research
9.1.6 Output management
9.1.6.1 Publication subsidy claim
9.1.6.1.1 Articles
9.1.6.1.2 Supporting documentation for books
9.1.6.1.3 Supporting documentation for conference proceedings
9.1.6.1.4 NWU panel meeting
9.1.6.1.5 PFR reports
9.1.6.1.6 DoHET forms
9.1.6.1.7 Subsidy claim
9.1.6.1.8 DoHET feedback reports
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
287
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.1.7 Research infrastructure D3 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
No copies to be kept by other offices
9.2 Research funding administration
9.2.1 Internal
9.2.1.1 Post-doctoral fellowship programmes
9.2.1.1.1 Application 9.2.1.1.2 Evaluation 9.2.1.1.3 Monitoring/reporting
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.2.1.2 Expensive research equipment
9.2.1.2.1 Application 9.2.1.2.2 Letter to researcher 9.2.1.2.3 Lifecycle planning
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.2.1.3 Institutional contributions for research agency
9.2.1.3.1 Monitoring/reporting
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.2.1.4 Seed funding for Research Entities
9.2.1.4.1 Application 9.2.1.4.2 Evaluation 9.2.1.4.3 Monitoring/reporting
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
288
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.2.1.5 Capacity development funding
9.2.1.5.1 Application 9.2.1.5.2 Evaluation 9.2.1.5.3 Monitoring/reporting
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.2.1.6 IREA claims
9.2.1.6.1 Award letter
9.2.1.6.2 List of authors
9.2.1.6.3 IREA calculations
9.2.1.6.4 Notification letters
9.2.1.6.5 Claims for ad hoc part of IREA (IREA honorarium)
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.2.1.7 Seed funding for projects
9.2.1.7.1 Application
9.2.1.7.2 Report
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation.
D1
9.2.2 External
9.2.2.1 Funding entities
A case file is opened for each funding entity and referenced number and name of entity, e.g. 9.2.2.1C/Agricultural Research Council
A list of funding entities is available on the InfoEd system.
DAU5 Senior Financial Accountant and Senior Financial Research Officer in the Office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
289
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.2.2.2 Research Chairs
9.2.2.2.1 Application 9.2.2.2.2 Evaluation 9.2.2.2.3 Monitoring/reporting
DAU5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
9.3 Research capacity development
9.3.1 Internal Research workshops
9.3.1.1 Timetable 9.3.1.2 Material 9.3.1.3 Reports
Records are referenced with number and name of workshop, e.g. 9.3.1.2/research applications or 9.3.1.2/supervision
D5 Snr Administrative Officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
9.3.2 Most Productive Researcher of the Year Award
9.3.2.1 Application 9.3.2.2 Evaluation 9.3.2.3 Result letters 9.3.2.4 Award ceremony administration
A as soon as finalised Director: Research Support reporting to the Executive Director: Research and Innovation
D1
9.3.3 Awards/Medals
9.3.3.1 Nominations 9.3.3.2 Screening committee 9.3.3.3 Winner notifications 9.3.3.4 Certificates
A as soon as finalised Snr Administrative Officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
290
Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.3.4 NRF rating of researchers
9.3.4.1 Notification 9.3.4.2 Application 9.3.4.3 Submission of application 9.3.4.4 Validation/acceptance
A as soon as finalised Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
9.3.5 Funding for conference/congress attendance
9.3.5.1 Application 9.3.5.2 Report 9.3.5.3 Budget for visit
D5 Research support officer in the office of the Director: Research Support reporting to the Executive Director: Research and Innovation
D1
9.4 Post-graduate studies management
For administration matters of post-graduate studies, please see 7.1.11.
9.4.1 Research proposals
Individual students’ proposals are referenced by the number and student number e.g. 9.4.1/1234567
A as part of records of either the Higher Degrees Committee on the Mafikeng Campus (2.2.2.20.1),the Faculty Boards on the Potchefstroom Campus (1.3.28) or Research Committee on the Vaal Triangle Campus.
A copy of this record also forms part of the Research/Title file in academic administration (7.1.10)
Secretariat of various committees listed.
D1 after submission and approval of proposal
9.4.2 Progress reports on studies
Individual students’ reports are referenced by the number and student number e.g. 9.4.2/1234567
D1 after completion of post graduate studies.
A copy of this record also forms part of the Research/Title file in academic administration (7.1.10)
Deans of Faculties and Research Entity Directors
D1 after completion of post graduate studies
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Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.4.3 Post-graduate tHCughput management
9.4.3.1 Targets 9.4.3.2 Strategies/interventions 9.4.3.3 Norms 9.4.3.4 Monitoring processes 9.4.3.5 Reports on tHCughput to Faculty
Boards Individual records are referenced by the number and the authority abbreviation, 9.4.3.3/FAST
Records 1-4: D5
Record 5: A as part of Faculty Board records (1.3.28)
Record 1-4: Deans of Faculties
Record 5: Secretariats of the Faculty Boards
No copies to be kept by other offices.
9.4.4 Assessment
9.4.4.1 Faculty specific assessment guidelines
9.4.4.2 Guidelines for examiners’ reports 9.4.4.3 Internal examiners’ reports 9.4.4.4 External examiners’ reports 9.4.4.5 Summaries of examiners’ reports
Record 1 is archived as part of the Faculty Board records (1.3.28)
Records 3 and 4 in this series are included in the Research/Title file (7.1.11) at Academic Administration or the Faculty managers on the Mafikeng Campus.
Record 5 is archived as part of the Faculty Board records (1.3.28) and a copy is placed on the Research/Title file (7.1.11) at Academic Administration.
Secretariats of the Faculty Boards and Faculty Managers on Mafikeng Campus and Academic Administration on the Potchefstroom and Vaal Triangle Campuses.
D1
9.4.5 Quality Assurance of research part of structured M’s
Done as part of Quality Assurance of Research Entity, please refer to records in 9.1.3
Please refer to 9.1.3 Please refer to 9.1.3 Please refer to 9.1.3
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Number Description of record Disposal of the original Office responsible for the original
Other offices’ disposal
9.4.6 Appeals on assessment
9.4.6.1 Letter of appeal 9.4.6.2 Letter of outcome
A as part of records of either the Higher Degrees Committee on the Mafikeng Campus (2.2.2.20.1),the Faculty Boards on the Potchefstroom Campus (1.3.28) or Research Committee on the Vaal Triangle Campus.
Secretariat of various committees listed.
D1
9.4.7 Research workshops for students D5 Administrative officers in the faculties
D1
9.4.8 Awards D5 Administrative officers in the faculties
D1
Quality Assurance of Masters’ and D’s outside Research Entities
Process to be finalized.
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10. IMPLEMENTATION OF EXPERTISE
User guidelines
This series is used for the management of records relating to Implementation of Expertise as set out in the NWU framework for implementation of expertise.
Subseries 1 is used for the management of records related to subsidised developmental engagement. For records relating to this subseries, please refer to main series 8 as this is dealt with as part of the normal teaching-learning activities.
Subseries 2 is used for the management of records related to technology transfer and commercialisation. The main record owner is the Director: Technology Transfer and Innovation Support. The legal aspects of this are dealt with in series 2.4.2 and IP management is dealt with in series 1.1.10.
Subseries 3 is used for the management of records related to developmental activities with focus on recruitment of students. These include faculty initiatives, sports weeks, open days etc. Please also see series 6.6 in this regard.
Subseries 4 is used for the management of records related to community engagement. The main record owner is the Manager: Community Engagement and the records are mainly dealt with as case files.
Subseries 5 is used for the management of records related to provision of professional expertise. The main record owner is the Executive Director: Research and Innovation. This matter is also dealt with as part of the performance management system of the NWU. Refer to series 3.5. Records relating to membership and liaison with professional bodies, statutory bodies or associations etc. are managed in series’ 1.7 to 1.11.
Subseries 6 is used for the management of records related to specialised innovation activities. The main record owner is the Director: Technology Transfer and Innovation Support.
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Number Procedures, manuals, guidelines and strategies
10Pr 10Pr Implementation of Expertise at the NWU
10Pr/10.2 Guide for external co-operation in a field of research and the commercialisation of research outputs
10Pr/10.4.1 Community Engagement Strategy
Disposal of original: D3 after every update.
Office responsible for original: Manager in specific division/process owner.
Other offices’ disposal: D after update or revision
Number Description of record Disposal of original Office responsible for original
Other offices’ disposal
10.1 Subsidised developmental engagement
For records relating to this subseries, please refer to main series 8 as this is dealt with as part of the normal teaching-learning activities.
10.2 Technology Transfer and Commercialisation
10.2.1 Administration and Marketing
These are open files but should contain related information
A1 Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
10.2.2 Patent based cases
These are open files but should contain related information
A1 Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
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Number Description of record Disposal of original Office responsible for original
Other offices’ disposal
10.2.3 Non-patent based cases
These are open files but should contain related information
P in office of origin. Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
10.2.4 Entrepreneurship, Development and Training
These are open files but should contain related information
P in office of origin. Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
10.2.5 Innovation Competitions
These are open files but should contain related information
P in office of origin.
A information on competitions.
Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
10.2.6 Business Development
These are open files but should contain related information
P in office of origin. Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
No copies to be kept by other offices.
10.2.7 Consultation and Innovation Services
These are open files but should contain related information
P in office of origin. Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation
D3
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Number Description of record Disposal of original Office responsible for original
Other offices’ disposal
10.3 Developmental activities with focus on recruitment of students
10.3.1 List of activities A after every update.
This record also forms part of the record 10Pr.
Executive Director: Research and Innovation
D1
10.3.2 Faculty initiatives
These are open files but should contain related information
A1 Faculty Dean and Faculty Manager
D1
10.3.3 Sports weeks
These are open files but should contain related information
Please also refer to subseries 7.3.5 where this relates to sports management.
A1 Manager Sport reporting to the Manager: Student Affairs on the Mafikeng Campus.
Sport code manager in the office of the Director/Manager: Sport reporting to the Dean of Students/Manager: Student Affairs on the Potchefstroom and Vaal Triangle Campuses.
No copies to be kept by other offices.
10.3.4 Open day visits
Please also refer to subseries 6.6 where this relates to campus marketing activities.
D3 Directors: Marketing and Communication on the Campuses
No copies to be kept by other offices.
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Number Description of record Disposal of original Office responsible for original
Other offices’ disposal
10.4 Community engagement
10.4.1 Strategy A Manager: Community Engagement reporting to the Executive Director: Research and Innovation
D1
10.4.2 List of projects (database) A after every update. Manager: Community Engagement reporting to the Executive Director: Research and Innovation
D1
10.4.3 Brochure A Manager: Community Engagement reporting to the Executive Director: Research and Innovation
D1
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Number Description of record Disposal of original Office responsible for original
Other offices’ disposal
10.4.4 Projects
A case file is opened for each project and referenced with number and name of project, e.g. 10.4.4.2C/name of project
10.4.4.1 Charity projects 10.4.4.2 Corporate Social Investment projects 10.4.4.3 Corporate Social Responsibility
projects 10.4.4.4 Social entrepreneurs
Each case file can contain the following records:
o Identification o Screening o Evaluation/impact assessment o Planning/implementation o Questionnaires on projects o Project leader information o Project title information o Funding o Terms and Conditions o Information on beneficiaries
DAU5
Depending on the nature of the project, some project files will be destroyed/archived.
The University Archivist will provide guidance.
Manager: Community Engagement reporting to the Executive Director: Research and Innovation and Project leader
D3
10.4.5 NWU Social Development Trust
These are open files but should contain related information
A Manager: Community Engagement reporting to the Executive Director: Research and Innovation
D1
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Number Description of record Disposal of original Office responsible for original
Other offices’ disposal
10.4.6 Community outreach
A case file is opened and referenced by number and authority abbreviation, e.g. 10.4.6C/P-HCC
DAU5 Manager in control of outreach
D1
10.5 Provision of professional expertise
10.5.1 List of activities A after every update.
This record also forms part of the record 10Pr.
Executive Director: Research and Innovation
D1
This matter is also dealt with as part of the performance management system of the NWU. Refer to main series 3, number 3.5.
10.5.2 Law Clinics Case files
Referenced 10.5.2C/Surname, Initials
D5 Officer in charge of the case D1
10.5.3 Internships Training Programmes D5 Officer in charge D1
10.5.4 Psychology Case File
Referenced 10.5.4C/Client name and surname
10.5.4.1 Client statistics
D5 Officer in charge D1
10.6 Specialised innovation activities
A case file is opened for each specialised activity and referenced number and name of activity, e.g. 10.6C/Science Park
Disposal of original: Depending on the nature of the activity, some files will be destroyed and some archived. The University Archivist will provide guidance.
Office responsible for original: Director: Technology Transfer Innovation Support reporting to the Executive Director: Research and Innovation
Other offices’ disposal: No copies to be kept by other offices.
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AUTHORITY LIST
Note: These abbreviations may or may not coincide with the network id’s of the departments. Should the record owner wishes them to be the same, and the record owner wishes to change the authority list, please inform the Records Manager.
Important: Authority abbreviations are not translated, and stays consistant independant of language!!
Campuses and Institutional Office Institutional Office I
Mafikeng Campus M
Potchefstroom Campus P
Vaal Triangle Campus V
Faculties and schools F denotes a faculty.
S denotes a school.
C denotes a centre
I denotes an institute.
B denotes a bureau.
____________________________________________________________________________
Mafikeng Campus Faculties
Faculty of Agriculture, Science and Technology FAST
Faculty of Commerce and Administration FCA
Faculty of Education and Training FET
Faculty of Human and Social Sciences FHSS
Faculty of Law MFL
Centres, Institutes
Centre for Applied Radiation and Science and Technology CARST
Community Law Centre CLC Mafikeng Soccer Institute MSI Ipeleng Child & Family Wellbeing Centre ICFWC
Schools
Graduate School Postgraduate Division GSPD
Post-graduate school for Business and Governmental Leadership SBGL
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School of Accounting Sac
School of Management Sciences SMSc
School of Agriculture Sciences SAgricS
School of Continuing Education SCE
School of Economic and Decision Sciences SEDS
School of Environmental and Health Sciences SEHS
School of Human Sciences SHS
School of Management Sciences SMS
School of Mathematical and Physical Sciences SMPS
School of Postgraduate Studies and Research SPSR
School of Postgraduate Studies (FES)ESPS
School of Postgraduate Studies (FL)LSPS
School of Social Sciences SSS
School of Undergraduate Studies (FES) ESUS
School of Undergraduate Studies (FL) LSUS
____________________________________________________________________________
Potchefstroom Campus Faculties
Faculty of Arts FA
Faculty of Natural Sciences FNS
Faculty of Theology FT
Faculty of Education Sciences PFES
Faculty of Economic and Management Sciences FEMS
Faculty of Law PFL
Faculty of Engineering FE
Faculty of Health Sciences FHS
Schools, bureaus, centres, faculty services and institutes
Bureaus
Advisory Bureau for Small Businesses ABSB
Centre for Child, Youth and Family Studies CCYF
Other
Arts: ATKV School of Creative Writing ATKV
Arts: Musical Arts of South Africa – resources and application MASARA
Pharmaceutical and Biomedical Services and Products PBSP
Potchefstroom Business School PBS
Unit for Open Distance Learning P-UODL
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Centres
Centre for Animal Testing CAT
Centre for Business Mathematics and Informatics CBMI
Centre for Community Law CCL
Centre for Environmental Management CEM
Centre for Excellence of Nutrition CEN
Centre for Human Metabonomics CHM
Centre of Excellence for Pharmaceutical Sciences PharMaCEN
Centre for Traffic Safety Training SENVO
DST/HySA Infrastructure Centre of Competence in Hydrogen production, storage, reticulation and safety codes and standards HySA
Science Centre SC Thedti Centre for Advanced Manufacturing TCAM
Faculty services
Cosmetic Efficacy Laboratory CEL
Engineering: Professional Services FEPS
Laboratory for Electron microscopy LEM
Law: Professional Services FL-PS
Law: Quality FL-Q
Law: Teaching-Learning FL-TL
Natural Sciences: Life Sciences FNS-LS
Institutes
Institute for Psychotherapy and Counselling IPC
Research Institute for Industrial Pharmacy RIIP
Riaan Venter Tennis Academy RVTA
Schools
Post-graduate School for Nuclear Sciences PGSNS
School of Accounting Sciences PSAS
School of Ancient Language and Text Studies SALTS
School of Bible Counselling and Church Ministry SBCCM
School of Biblical Studies and Bible Languages SBSBL
School of Biokinetics, Recreation and Sport Sciences SBRSS
School of Biological Sciences SBS
School of Business Management SBM
School of Chemical and Mineral Engineering SCME
School of Communication Studies SCS
School of Computer Sciences and Information Systems SCSIS
School of Computer, Statistical and Mathematical Sciences SCSMS
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School of Computer Sciences and Information Systems SCSIS
School of Continuing Teachers Education SCTE
School of Curriculum-based Studies SKS
School of Ecclesiastical Studies SEcclS
School of Economics SEc
School of Education Sciences SEd
School of Electrical, Electronic and Computer Engineering SEECE
School of Environmental Sciences and Development SESD
School of Geo and Space Sciences SGSS
School of Human Resources Sciences SHCS
School of Human and Social Science for Eduction SHSSE
School of Languages SLan
School of Mathematics and Applied Mathematics SMAM
School of Mechanical Engineering SME
School of Ministers’ Training SMT
School of Music SM
School of Nursing SN
School of Pharmacy SPharm
School of Philosophy SPhil
School of Physical and Chemical Sciences SPCS
School of Physiology, Nutrition and Consumer Sciences SPNCS
School of Psychosocial Behavioural Sciences SPBS
School of Social and Government Studies SSGS
School of Natural Science, Mathematics and Technology for Education SCNTE
____________________________________________________________________________
Vaal Triangle Campus Faculties
Faculty of Humanities FH
Faculty of Economic Sciences and FESIT Information Technology
Schools
School of Accounting Sciences VSAS
School of Basic Sciences SBS
School of Behavioural Sciences SBeS
School of Economic Sciences SEconS
School of Education Sciences SEdS
School of Information Technology SIT
School of Languages SL
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Other
Quest Conference Estate QCE
Serious Games Institute SGI
Vaal Cricket Academy VCA
____________________________________________________________________________
Support departments Institutional Office Academic Development and Support I-ADS
Archives and Museum I-AM
Career Centre I-CC
Community Engagement I-CE
Corporate Affairs and Relations I-CAR
Corporate Communication I-CCO
Deputy Vice-Chancellor: Teaching-Learning I-VCTL
Diversity, Equity and Human Rights I-DEHC
Finance and Facilities I-FF
Financial Administration I-FA
Financial Reporting and System Management I-FRSM
Human Capital Training and Development I-HCTD
Human Resource Operations I-HC
Information Technology Central I-ITC
Institutional Advancement and Business Development I-IABD
Institutional Governance and Secretariat Services I-IGSS
Institutional Project Office I-IPO
Institutional Registrar I-IR
Internal Audit I-IA
Language Directorate I-LD
Legal Services I-LS
Management Accounting Services I-MAS
Management Information I-MIS
Money Market I-MM
Physical Infrastructure and Planning I-PIP
Procurement and Expenses I-PE
Quality Office I-QO
Records Management and Administration I-RMA
Research and Innovation I-RI
Research Support I-RS
Student Administrative Systems I-SAS
Student Affairs and Sport I-SA
Tax Services I-TS
Technology Transfer and Innovation Support Office I-TTISO
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VC: Executive Advisor I-VCEA
Vice-Chancellor I-VC
____________________________________________________________________________
Mafikeng Campus Archive M-A
Academic Development Centre M-ADC
Academic Support Services M-ASS
Campus Rector M-CR
Campus Registrar M-R
Facilities M-Fa
Farm M-Farm
Finance and Facilities M-FF
Financial Aid M-Finaid
Finances M-Fi
Human Resources M-HC
Information Technology M-IT
Library M-L
Maintenance M-M
Protection Services M-PS
Public Relations M-PR
Secretariat M-Secr
Student Affairs M-SA
Vice-Rector: Academic M-VRA
Vice-Rector: Quality and Planning M-VRQP
____________________________________________________________________________
Potchefstroom Campus Academic Administration P-ACA
Academic Support Services P-ASS
Campus Rector P-CR
Campus Registrar P-R
Culture P-Culture
Electrical Services P-ES
Ferdinand Postma Library P-FPB
Finance and Facilities P-FF
Financial Administration Income P-FAI
Financial Support Services P-FSS
Health Care Centre P-HCC
High Performance Institute P-HPI
Information Technology P-IT
Instrument Making P-IM
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Interpreting Services P-IS
Logistics P-L
Marketing and Communication P-MAC
Protection Services P-PS
Residence and Catering Services P-RCS
Secretariat P-Secr
Social Work P-SW
Sport P-Sport
Statistical Consultation Services P-Stat
Student Counselling Services P-SCS
Student Dean P-SD
Technical Services P-TS
Vice-Rector: Academic - Teaching-Learning P-VRA
Vice-Rector: Academic – Research and Planning P-VRQP
____________________________________________________________________________
Vaal Triangle Campus Academic Development and Support V-ADS
Administration V-A
Campus Rector V-CR
Campus Registrar V-R
Finance and Facilities V-FF
Information and Support Services V-ISS
Library V-Lib
Marketing and Communication V-MAC
Operational Management V-OM
Secretariat V-Secr
Student Affairs V-SA
Student Development V-SD
Vice-Rector: Academic, Quality and Planning V-VRAQP
____________________________________________________________________________
Research entities NOTE: Some research entities have specific names they are known by and these names are used.
Mafikeng Campus Niche area for Population and Health PH
Food security and safety FSS
Material Science Innovation and Modelling MaSIM
Lifestyle Diseases LD
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Potchefstroom Campus Ancient Text AT
Community Psychosocial Research Compres
Centre for Space Physics SP
DST/NWU Pre-Clinical Drug Development Platform PCDDP
Education and Human Rights in Diversity EduHRight
Focus area for Chemical Resource Beneficiation CRB
Focus area for Social Transformation ST
Focus area for Teaching-Learning Organisations TLO
Niche area for Hypertension in Africa HART Research Team
Niche area for Medicine Usage in South Africa MUSA
Focus area for Physical Activity Sport and Recreation PhASRec
Unit for Business Mathematics and Informatics BMI
Unit for Energy systems and Technology EST
Unit for Environmental Sciences and Management ESM
Unit for Languages and Literature in the LLSAC South African Context
Unit for Reformed Theology and the Development RT of the South African Society
Unit for Transdisciplinary Health Research AUTHeR
Unit: Development in the South African UDSACC Constitutional State
Quality in Nursing and Midwifery INSINQ
Unit for Tourism, Research in Economic Environment and Society TREES
Trade and Development TRADE
WorkWell: Research Unit for Economic & Management Sciences WEMS
Vaal Triangle Campus Multilingual Speech Technologies MUST
OPTENTIA research programme OPTENTIA
Understanding and Processing of language in Complex Settings UPSET
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RECORDS OF HISTORICAL VALUE
Records transferred to the Archive particularly include:
o All records indicated in the NWU file plan as A or any of its variants (e.g. A1).
o Organizational histories;
o Biographical information: curriculum vitaes, bibliographies, memoirs, biographical sketches;
o Audio-visuals: identified sound recordings of historical value;
o Audio-visuals: identified photographs (printed and digital), negatives, films, DVD’s and video tapes of historical value; and
o Artefacts and memorabilia of historical value and a manageable physical size and condition.
o Scrapbooks of hostel activities and other events.
Please call the University Archivist (Annette Kellner, x99 4086) if you need assistance in identifying records/objects with historical value to the NWU or to discuss options for preservation of such objects. You may also call the following persons on the campuses: Mafikeng Campus: Kgomotso Taukobong (x85 2006) Institutional office/Potchefstroom Campus: Annette Kellner (x99 4086) Vaal Triangle Campus: Pauline Kuhne, (x10 3122)
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