DS MN - NWU | North-West University · R R DS MN M N NWU Records Management Programme It all starts here™ File Plan and Disposal Schedule 1 January 2016

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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.

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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.

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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

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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

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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

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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

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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.

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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


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


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


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


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


1.1.12.2 Enquiries

1.1.12.3 Update request


D3

6


1.1.13 Consumer Protection Act, 64 of 2008


1.1.13.2 Complaints


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


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


Council secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

7


1.3.2 Executive Committee



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


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)



HCDEE secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

8


1.3.5 Transformation Oversight Committee (TOC)




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



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



Finance Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

9


1.3.8 Tender Committee



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



Investments Committee secretariat in the office Executive Director: Finance and Facilities

D1

1.3.10 Assets Committee



Assets Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

10


1.3.11 Audit, Risk and Compliance Committee (ARCC)



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


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


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



Senate secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

11


1.3.14 Senate Executive Committee (SENEX)



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)



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)



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


1.3.17 ICAS Exco



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



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



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


1.3.20 ICAS advisory board



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



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



Higher Degrees Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

14


1.3.23 Research Support Commission



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


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


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


1.3.26 Institutional Research Ethics Regulatory Committee



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


Campus committees are referenced by number and authority abbreviation 1.3.27/M or 1.3.27/P or 1.3.27/V


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


1.3.28 Faculty Boards


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


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)



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



Human Rights Committee secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

17


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


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


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


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


1.3.22.1.3 Invitation to new staff D1 Convocation Officer reporting to the Institutional Registrar


1.3.33.1.4 Letters to members D3 Convocation Officer reporting to the Institutional Registrar



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


o Rules for elections o Nomination forms o Ballot papers o Appointment letters


Convocation Officer reporting to the Institutional Registrar

D1

SERIES CLOSED

SERIES CLOSED

SERIES CLOSED

19


1.3.34 Board of Donors




D1

1.3.35 Student Oversight Committee



A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur


D1

1.3.36 Senate Committee for Phylosophical Grounding



A1. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur


D1

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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


21


1.5 Legislative prescribed committees

1.5.1 Workplace Forums




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




D1

22


1.5.3 NWU Pension Fund



NWU Pension Fund Secretariat D1

1.5.4 Institutional Bargaining Forum



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




EESDF Forum secretariats D1

23


1.5.6 Occupational Health and Safety Representatives Forums


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



OHS secretariats on the Potchefstroom and Vaal Triangle Campuses and the Institutional Office.

D1

1.5.7 Vice-Chancellor Occupational Health and Safety Forum





D1

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1.5.8 Exco Occupational Health and Safety


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




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

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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


1.11/Nursing Council

D5 Staff members corresponding with the professional body and under whose signature the correspondence is sent.

D1

26


1.12 Companies/consortia


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

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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


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.


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


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

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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


Institutional Management secretariat in the office of the Director: Corporate and Information Governance Services reporting to the Institutional Registrar

D1

33


2.2.2.2 Institutional Management and Campus Managements Meeting



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



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


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


2.2.2.5 Extended Registrars’ Forum



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


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


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


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


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


Secretariats of the Corporate Identity and Branding Committees

D1

SERIES CLOSED

36


2.2.2.9 Bursaries and Loans Committees


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


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



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



Working Committee for Facilities Secretariat in the Office of the Executive Director: Finance and Facilities

D1

SERIES CLOSED

37


2.2.2.12 Institutional Projects Committee



IPC Secretariat in the Office of the Executive Director: Finance and Facilities

D1

2.2.2.13 Institutional Certification Committee



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


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


House parents committee secretariats

D1

38


2.2.2.15 HIV and AIDS committees


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


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


Faculty Board Exco secretariat in the Office of the Faculty Dean

D1

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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


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


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


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


2.2.2.19 Support director’s/managers’ meetings


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


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


Secretariat of the internal faculty committee in the office of the Faculty Dean.

D1

41


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


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


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.



o Membership list

o Agendas

o Minutes


o Correspondence






D1

43


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.



o Membership list

o Agendas

o Minutes


o Correspondence






D1

2.2.2.24 Budget committee meetings


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


Secretariat of the Budget committees.

D1

44


2.2.2.25 Intercampus support department meetings


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


Secretariat of the Budget committees.

D1

2.2.2.26 Sports code/hostel sport meetings


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.


Secretariat of the sport code/hostel sport meetings.

D1

45


2.2.2.27 Culture group/society meetings


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


Secretariat of the culture group/society meetings.

D1

2.2.2.28 Institutional Health and Wellness (Co-ordinating) Committee



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



Secretariat of the Institutional Health and Wellness (Co-ordinating) Committee in the office of the Director: Diversity, Equity and Human Rights

D1

46


2.2.2.30 Quality Assurance Committees


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


Secretariat of the Quality Assurance Committees on the campuses

D1

2.2.2.31 Quality Improvement Committees


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


Secretariat of the Quality Improvement Committees on the campuses

D1

47


2.2.2.32 External funding Committees


External funding Committees meetings are referenced by number and name of funding entity, e.g 2.2.2.32/PUK-Kanselierstrust


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


Campus Secretariat of committees D1

48


2.2.2.34 IT Adivsory Board



Secretariat of the IT Advisory Board D1

2.2.2.35 Combined Assurance Forum



Secretariat of the Combined Assurance Forum

D1

2.2.2.36 Campus Residence meetings



Secretariat of the Residence D1

49


2.2.2.37 Branding, Marketing, Communication & Advancement Committee



Secretariat of the Committee D1

2.2.2.38 Advancement Project & Evaluation Committee (APEC)




2.2.2.39 Alumni Association




50


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


Meetings are referenced by number name of entity, e.g 2.2.2.40/Sol Plaatje



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




2.2.3 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


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


Director: Quality Office D after completion of 7 year audit cycle.

52


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.


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.


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.


2.3.1.2.7 Training A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.


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



53


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







2.3.1.3.5 Status of historic and future EPE’s

2.3.1.3.5.1 List of EPE panel members



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



54


reports

2.3.1.3.6.5 Status of historic and future Post-EPEs



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.



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


55


areas until transfer to Institutional Archives occur.

2.3.1.4.4 Progress reports A5. Copy must be sent to Quality Office.



2.3.1.4.5 Status of historic and future reviews A5. Copy must be sent to Quality Office.



2.3.1.5 Statutory / non-statutory Councils

2.3.1.5.1 Reports A5. Copy must be sent to Quality Office.



2.3.1.5.3 Improvement plans A5. Copy must be sent to Quality Office.



56


2.3.1.5.5 Status of historic and future reviews A5. Copy must be sent to Quality Office.



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



2.3.1.6.2 Reports A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.




57




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.




2.3.1.7 External Aligned Programme Evaluation


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



2.3.1.8 Internal Programme Evaluation (Research Masters & Doctoral Degree)


2.3.1.8.1.1 Guide

2.3.1.8.1.2 Questionnaire

2.3.1.7.1.3 Programme Feedback Questionnaire



58


2.3.1.9 External Programme Evaluation (Research Masters & Doctoral Degree)


2.3.1.9.1.1 Guide

2.3.1.9.1.2 Questionnaire



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



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.


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




59


and authority abbreviation, e.g. 2.3.2.3/I-RMA.


2.3.2.4 Progress reports

Individual reports are referenced by number and authority abbreviation, e.g. 2.3.2.4/I-RMA.





2.3.2.5 Status of historic and future evaluations

2.3.2.5.1 List of panel members





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.




2.3.2.7 Status of Support Departments A5. Electronic copy must Director/manager of support D after completion of

60


be sent to Quality Office.


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.




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.


2.3.3.2 Gap register

2.3.3.2.1 Gaps closure



2.3.3.3 NWU Feedback register D6 months after receipt of HEQC audit report from HEQC


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.


61


2.3.3.5 Improvement plan A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.


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.


2.3.3.7 HEQC training A5. Records are to be kept in safe and secure storage areas until transfer to Institutional Archives occur.


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



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)



62


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


D3

SERIES CLOSED

63


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.


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



64


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



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



2.4.7 Legal disclaimers/Indeminity forms D3 Department/Faculty/School who requires disclaimer


For matters relating to:

Staff discipline, please refer to 3.13.

Student discipline, please refer to 7.3.8

SERIES CLOSED

65


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


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


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


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


Manager of Language Directorate in the Office the Executive advisor reporting to the Vice


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


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


66


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


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


2.5.2.2 Editing




2.5.2.3 Corporate interpreting




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


67


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


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


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


2.5.3.5 System administration and reports (data gathering)

P on system UniList: Manager: Educational Interpreting Services in the Language Directorate


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


68


2.5.4.2 External training: short courses P in office of origin. Head: Language Services in the Language Directorate


2.5.4.3 Internal training: Educational interpreters P in office of origin. Head: Language Services in the Language Directorate


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


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


69


2.6.1.2 System administration

2.6.1.2.1 Manuals/Procedures

P on MIS system

Records relating to background system administration D1.



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



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


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


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


70


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


Director: Diversity, Equity and Human Rights reporting to the Executive Director: Human Capital Development


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




Employment Equity is referenced 3.14 and 1.1.6 depending on the nature of the record.

71


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



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


72


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


2.8.2 Database P on system Senior Administrative Officer in the International Office


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


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


For international and inter-institutional agreements/contract refer to 2.4.1.3

73


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)


2.9.2 Reporting of audit activities P in office of origin. Director: Internal Audit reporting to –




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 –




74


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





2.9.5 Risk register of the NWU Electronically available.

DAU5





2.9.6 Whistle-blow reporting DAU5 Director: Internal Audit reporting to – No copies to be kept

75


2.9.6.1 Disclosure of information and enquiries

Confidential Administratively – Executive Director: Finance and Facilities


by other offices.

2.9.7 Risk management DAU5 Director: Internal Audit reporting to –




2.9.8 Compliance monitoring DAU5 Director: Internal Audit reporting to –




2.9.9 ACL projects DAU5 Director: Internal Audit reporting to –




76


2.9.10 Internal controls DAU5 Director: Internal Audit reporting to –




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





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


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


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


D1

78


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


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


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


2.12.3.4 Separation forms P in office of origin until collection has been arranged


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


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


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


D1

82


Pest control

Mould control

Security control

2.12.5.3 Micro environment

Storage containers etc


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


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


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


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


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


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


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


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


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


D1

90


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


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


2.19.10 Incident register D3 Administrative Officers in respective divisions


91


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


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


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


2.20.2.4 Loans P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses


2.20.2.5 De-accession forms P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses


2.20.2.6 Donor notifications P in office of origin Curators reporting to Institutional registrar, Campus registrars or supervisor on campuses


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


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


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


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


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


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


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


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



Other offices’ disposal: D after update or revision

102


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


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.


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


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



3.1.4.4 Reference check form D5 HC practitioner/Snr HC officer



3.1.4.5 Application to claim travel costs for an interview

D5 HC practitioner/Snr HC officer



3.1.5 Unsuccessful applications D5 HC practitioner/Snr HC officer No copies to be kept by other offices.

106


3.1.6 Job description for job evaluation This record forms part of the staff file.


(Selection panel chair/manager supervising position)


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



(Selection panel chair/manager supervising position)


107


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.


Records pertaining to the Convocation and ICNL do not form part of the staff file and are returned to the original owners.


(Part of appointment documentation to be completed)


108


3.2.1.3 Permanent appointment after probation period (support staff)



(Manager supervising position/Mafikeng Campus HC manager)


3.2.1.4 Probation review form This record forms part of the staff file.




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)


109


3.2.2.2 Appointment of student assistants This record forms part of the HC: A-Z file.



3.2.2.3 Appointment of post graduate assistants This record forms part of the HC: A-Z file.



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




3.2.2.5 Appointment of interns This record forms part of the HC: A-Z file.




110


3.2.3 Other

3.2.3.1 Appointment of directors in the academe This record forms part of the staff file.


(Dean/Mafikeng Campus HC manager)


3.2.3.2 Appointment of extraordinary staff and honorary professors





3.2.3.3 Move position This record forms part of the HC: A-Z file.




3.2.3.4 Appointment of acting manager This record forms part of the HC: A-Z file.




111


3.2.3.5 Appointment of subject chairs/programme leaders





3.2.3.6 Personal particulars This record forms part of the HC: A-Z file.




3.3 Termination of service


3.3.1 Service termination form This record forms part of the staff file.


(Manager supervising position/ Mafikeng Campus HC manager))


3.3.2 Termination of service due to incapacity or disciplinary action



(Manager: Labour Relations)


112


3.3.3 Notice of death This record forms part of the staff file.


(Manager supervising position Mafikeng Campus HC manager)


3.3.4 Exit interviews This record forms part of the staff file.


(HC practitioner/Snr HC officer)


3.3.5 Clearance form This record forms part of the staff file.




3.3.6 Certificate of service This record forms part of the staff file.




113


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.


(Skills development facilitator)

D1

3.4.2 Overseas visits

3.4.2.1 Motivation

3.4.2.2 Report




D1

3.5 Performance management


3.5.1 Performance agreement This record forms part of the staff file.


(Senior HC practitioner in the office of the Director: HC)

D1

114


3.5.2 Cycle and schedule This record forms part of the staff file.



D1

3.5.3 Performance review and appraisal This record forms part of the staff file.



D1

3.6 Promotion of academic staff


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


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


Record 2: Faculty dean


3.7 Leave issues


3.7.1 Leave form This record forms part of the staff file.


(Manager supervising position)

D1

3.7.2 Application for cancellation This record forms part of the staff file.



D1

116


3.7.3 Overtime leave permissions This record forms part of the staff file.



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


3.8.2 Salary payments


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


3.8.2.2 Deduction permission

3.8.2.2.1 Class fees 3.8.2.2.2 General deduction order




3.8.2.3 Miscellaneous loans This record forms part of the staff file.



3.8.2.4 Advances This record forms part of the staff file.



3.8.2.5 Garnishee orders This record forms part of the staff file.



3.8.2.6 Salary instruction and details of bank account of current staff members




3.8.2.7 Claim form for the remittance of travelling costs




118


3.8.2.8 Balancing and controls This record forms part of the staff file.



3.8.2.9 Payments This record forms part of the staff file.



3.8.2.10 Quality controls This record forms part of the staff file.



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


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


119


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


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




D1

3.8.3.3 Claim form for student assistants This record forms part of the HC: A-Z file.



D1

120


3.8.3.4 Examiners honorarium

3.8.3.4.1 Tarrifs 3.8.3.4.2 Claim form


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.


(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.


(Manager supervising position/ Mafikeng Campus HC manager)

D1

121


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





3.8.3.8 Long service awards This record forms part of the staff file.



3.8.3.9 Permission to conduct work for foreign students




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


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


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.


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.



Course attendees, who have material of the course, can keep the material for as long as they wish.

123


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.




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


D1

3.9.6.2 Letter of outcome This record forms part of the staff file.



D1

3.9.6.3 Proof of attendance of training intervention This record forms part of the staff file.


(Skills development facilitator and the staff member who attended training)



124


3.9.7 Studies at UNISA


3.9.7.1 Application for staff study assistance This record forms part of the staff file.



D1




D1

3.9.7.3 Study assistance agreement This record forms part of the staff file.




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.



125


3.9.8.1.2 Applications forms D5 according to Skills Development Act.




3.9.8.1.3 Contracts This record forms part of the staff file.




3.9.8.1.4 Correspondence with SETA D5 according to Skills Development Act.



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


3.10.3 Mentoring agreement This record forms part of the staff file.


D1

3.11 Talent management

3.11.1 Employee assessment This record forms part of the staff file.


D1

3.11.2 Succession planning

3.11.2.1 Nomination form



D1

3.11.3 Growing our own Timber This record forms part of the staff file.


D1

3.11.4 Internships This record forms part of the staff file.


D1

127


3.12 Organisational development

3.12.1 Position management

3.12.1.1 Applications This record forms part of the staff file.


D1

3.12.1.2 Evaluation documentation (peromnes score sheets)

P on Remeasure Online System





D1

3.12.1.4 Appeals This record forms part of the staff file.


D1

3.12.1.5 Letter of upgrading of position and salary adjustment




128


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


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


129


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


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


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


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



130


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


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


3.13.2.1.3 Performance improvement plan This record forms part of the staff file.




3.13.2.1.4 Performance improvement plan review This record forms part of the staff file.




131


3.13.2.2 Incompatibility







3.13.2.3 Ill health and injury







3.13.3 Retrenchments

3.13.3.1 Correspondence/meetings D3 after completion of section 189 process.



132


3.13.3.2 Letter This record forms part of the staff file.




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


3.13.4 Grievances



3.13.4.2 Case files

Referenced 3.13.4.2/NWU case number



3.13.5 CCMA cases



3.13.5.2 Case files

Referenced 3.13.5.2/CCMA case number



133


3.13.6 Labour Court cases



3.13.6.2 Case files

Referenced 3.13.6.2/Labour court case number



3.13.7 Labour agreements

3.13.7.1 Recognition agreements

Referenced 3.13.7.1 /union name

A immediately after conclusion of agreement.



3.13.7.2 Individual agreements

Referenced 3.13.7.2/staff number

D3 after completion of agreement date/terms.



3.13.8 Opinions and reports

Referenced 3.13.8/org structure, eg 3.7.7/I-RMA



3.13.9 Union administration

Referenced 3.13.9/name of union, e.g. 3.13.9/SAPTU

D1

Hard copy


D1

SERIES CLOSED

134


3.13.10 System administration and reports P on system (LABOURPRO)



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


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)


Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (EE manager)


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


3.14.3.3 Individual development plan

(see 3.4)




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


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)


3.15.2 Application for assistance (including correspondence and support documents)




136


3.15.3 Approval/Non-approval This record forms part of the staff file.



3.15.4 Contract of assistance This record forms part of the staff file



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


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


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


137


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)


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


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)


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


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


3.16.2.3 Application/adding/cancellation of member on medical aid


Records officer in HC: Operation in the office of the Director: HC Operations reporting to the Executive Director: Human Capital Development (Payroll)


138


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


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


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


3.16.3.3 Option choices/changes form This record forms part of the staff file.


(Payroll)


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


3.16.4.2 Evaluation D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar


3.16.4.3 Letter of outcome D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar


3.16.4.4 Rejections D5 System specialist in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar


3.17 Remuneration management

3.17.1 Key scales Forms part of the Institutional Management Committee meeting records referenced 2.2.2.1


D1

3.17.2 Individual remuneration review process

3.17.2.1 Recommendation: Revision of remuneration




D1

140


3.17.2.2 Letter of outcome of remuneration review This record forms part of the staff file.



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



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



D1

141


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



3.17.3.4 Letters informing staff member of top performer bonus




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


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


142


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


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


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


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


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



(Staff member)


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


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


SERIES CLOSED

SERIES CLOSED

144


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


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


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


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


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.



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.



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.



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


146


3.21 Employee assessment

3.21.1 Statement of understanding This record forms part of the staff file.


(Staff member)


3.21.2 Employee referral form This record forms part of the staff file.


(Staff member)


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.


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




150

http://www.nwu.ac.za/kfs


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


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


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


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


151


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


4.1.3.4 Cost estimation of study costs / quotations D3

Kept electronically on departmental shared drive according to student number



4.1.3.5 Credit and debit notes DAU5

Kept in hard copy according to date.



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


SERIES CLOSED

152


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


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


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


4.1.4.3 Debtors accounts DAU5

Kept electronically on KFS.



153


4.1.4.4 Credit notes DAU5

Credit note and accompanying e-mail kept electronically on KFS.



4.1.4.5 Receipts DAU5

Kept electronically on VSS-REC



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


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


SERIES CLOSED

154


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


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


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


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


SERIES CLOSED

155


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


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


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


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


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


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


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


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


157


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


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


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


4.1.7 Donations/awards

4.1.7.1 Tax exemption certificates DAU5 Financial officer in Department Marketing and Communication on the campuses


158


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


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


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


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


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


159


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


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


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


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


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


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


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


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


161


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


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


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


162


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


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


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


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


163


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


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


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


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


164


4.2.3.6 Claim form for travel DAU5

Hard copies



4.2.3.7 Travel insurance form (Diners Club) DAU5

Hard copies



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



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


165


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


4.3.3 Physical survey of assets (inventory) Hard copy correspondence: D3.

P on KFS.



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


166


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


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


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


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


167


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


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


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


4.5.2.2 Interest calculations DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities


4.5.2.3 Inflation database DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities


4.5.2.4 Interest and discharging DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities


4.5.2.5 Capitalisation DAU5 Manager: Money Market in reporting to the Executive Director: Finance and Facilities


168


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


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



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


169


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


D1

4.7.2 Overdraft facilities awarded

4.7.2.1 Application forms

P on KFS.

Hard copies: D5


D1

4.7.3 Security accesses

4.7.3.1 Oracle registration form

P on KFS.

Hard copies: D5


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


D1

170


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


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


171


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


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


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



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


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


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


173


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


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


174


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.




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





175


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





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





176


4.10.6 NSFAS administration

Referenced 4.10.6C/name of type of NSFAS bursary/student number, e.g. 4.10.6C/Funza/1234567


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


4.10.6.1 Appeals register P on SBL programme.

DAU5: Hard copies.



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


177


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


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


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.



178


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.



4.10.7.2 Payment reconciliation P on SBL programme.

DAU5: Hard copies.



4.10.7.3 Unclaimed funds P on SBL programme.

DAU5: Hard copies.



179


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


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


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


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





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


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


D1

5.1.3 Annual list of building priorities Archived as part of Council records 1.3.1.4


D1

5.1.4 Tenders

5.1.4.1 Unsuccessful tenders

DAU5

Record 1: D1



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


5.1.6 Benchmarking D3 Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities


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.



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


5.1.7.2 Building project contracts D5 after expiration of contract and when no litigation has ensued.



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


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


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



5.2.2 Building plans P in office of origin. Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director:


185

Finance and Facilities

5.2.3 Facilities management programme Electronic database. P in office of origin.



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


187

reporting to the Chief Director: Finance and Facilities on the Potchefstroom 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


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





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.





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




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





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





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)


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


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


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



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



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.




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.




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.



Person responsible for vehicle of department on the Potchefstroom Campus


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.




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.




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.



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


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


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



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



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



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


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



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



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.



200

5.5.5 Environmental management D5 Administrative Manager Physical Infrastructure and Planning in the Office of the Executive Director: Finance and Facilities


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.


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.


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


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


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.


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


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.


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


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




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


6.1.2 Corporate Identity

206




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


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.


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.


Directors: Marketing and Communication on the Campuses

D1

207




6.1.2.6 Certificates, Medals and Trophies A examples of certificates as soon as finalised.




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.




6.1.2.8 Signage A paper examples as soon as finalised.




6.1.2.9 Interior Design A paper examples as soon as finalised.




208




6.1.2.10 Academic posters A paper examples as soon as finalised.




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.




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


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




209




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





6.1.6 Internal branding

6.1.6.1 Employee engagement





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


210




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


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




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


o Research o Correspondence o Procedures/processes o Budget o Consultation/agreements o Ad hoc matters o Final printed copy of media




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.



Staff responsible for newsletters/communication materials in the faculties, schools or departments.

D1

212




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


o Research o Correspondence o Procedures/processes o Budget o Consultation/agreements o Ad hoc matters o Final print of media




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


213




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


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


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


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


214




6.2.9 Positioning and alignment D3 Director: Corporate Communication in the Office of the Executive Director: Corporate Affairs and Relations



6.3 Fundraising

6.3.1 Strategy A1 Staff responsible for fundraising in the faculties, schools or departments.


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.


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.


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.


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.


215




6.3.6 Endowment fund DAU5 Manager: Money Market reporting to Executive Director: Finance and Facilities for the financial aspects


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.


6.4 Stakeholder Relations




Staff hosting special events.

D1

216




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


D2 all records relating to arrangements of business sector relations events.



6.5 Alumni Management





217




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


D2 all records relating to arrangements of alumni events.

Directors: Marketing and Communication on the Campuses.


6.5.3 Alumni data form P on database.




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


6.6.2 Plan Referenced with number and OE, e.g. 6.6.2/P, 6.6.2/V



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



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



218




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


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



6.7 Institutional Advancement

Referenced by number, OE and name of donator, e.g. 6.7/I-SANLAM

DAU5 Staff responsible institutional advancement


6.7.1 Meal-a-day Application form DAU5 Staff responsible institutional advancement


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


Office responsible for original: Policy owner

Other offices’ disposal: D after update or review.


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


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


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


223



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.


7.1.1.3 Proof of payment for application This record forms part of the official student file at Academic Administration/Services.



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.



224



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




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.



7.1.1.7 Final correspondence regarding student’s admission status

7.1.1.7.1 Letter regarding admission status




225



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.


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.


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.


226



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.


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.


7.1.2.5 HESA correspondence This record forms part of the official student file at Academic Administration/Services.



7.1.2.6 Web registration This record forms part of the official student file at Academic Administration/Services.



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.


227



7.1.2.8 Re-registation This record forms part of the official student file at Academic Administration/Services.



7.1.2.9 Academic advice This record forms part of the official student file at Academic Administration/Services.



7.1.2.10 Proof of payment This record forms part of the official student file at Academic Administration/Services.



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


228



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


229



7.1.3.6 Administration of the practical component (work-based learning)




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.



7.1.4.2 Cancellation by student This record forms part of the official student file at Academic Administration/Services.



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.




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.


230



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




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



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


7.1.7.2 Review of results correspondence D3 Lecturer or Administrative Manager/Faculty officer in the faculty


231



7.1.7.3 Collection register D3 Lecturer or Administrative Manager/Faculty Officer in the faculty


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


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


7.1.7.6 Assignment mark sheet D3 Administrative Officers in faculties


7.1.7.7 List of assignments received D3 Administrative Officers in faculties


7.1.7.8 List of assignments returned D3 Administrative Officers in faculties


7.1.7.9 Delivery notes / Assignments Batches D3 Administrative Officers in faculties


232



7.1.7.10 List of assignments marked D3 Administrative Officers in faculties


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.


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.

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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


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



234



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


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



235



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



7.1.9.8 Examination statistics D1 Any person responsible for the statistics


7.1.9.9 Marker statistics D1 Any person responsible for the statistics


7.1.9.10 Examination irregularities D3 Administrative Managers in Faculties


7.1.9.11 Student enquiries D3 Administrative Managers in Faculties


7.1.9.12 Invigilators (off campus) D3 Administrative Managers in Faculties


7.1.9.13 Correspondence to students D3 Administrative Managers in Faculties


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:


236



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


7.1.11.2 Submission records

7.1.11.2.1 Notice of submission


D5




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


D5




237



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


D5




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


D5




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)


D5




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


D5




238



7.1.11.8 Preliminary evidence of degree P on system Mafikeng Campus: Faculty Officers



7.1.11.9 Classification and declassification of theses and dissertations

D3 Mafikeng Campus: Faculty Officers



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.


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.


239



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.


240



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.


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



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


7.2.3 System development D5 Operating system specialists in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar


7.2.4 System maintenance D5 Operating system specialists in the office of the Manager: Student Administrative Systems reporting to the Institutional Registrar


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


242



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.


7.3.1.2 General trends and needs analysis on student affairs

D3 Dean of Students/Director or Manager: Student Affairs on the Campuses.


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


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.


243



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


Chairperson of the Golden Key International Honour Society


7.3.1.5 SRC portfolio management

Referenced by number, campus and name of portfolio


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


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



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



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.


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.


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.


246



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


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


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



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.


SERIES CLOSED

248



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.


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


(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.


249



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


(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



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.


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.


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


251



7.3.7.2 Career Fairs



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


7.3.7.3 CareerZone


As this is a web based activity, please refer to 6.2.3.2.1.

Manager: Career Centre reporting to the Executive Director: Teaching


7.3.7.4 Employer of Choice


D5 Manager: Career Centre reporting to the Executive Director: Teaching


7.3.7.5 Career guide


A when finalised Manager: Career Centre reporting to the Executive Director: Teaching

D1

SERIES CLOSED

SERIES CLOSED

252



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.


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.


253



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


7.3.8.3 Disciplinary register D5 Campus Registrars on the Mafikeng and Vaal Triangle Campuses.



254



7.3.8.4 Alternative Dispute Resolution (mediations)




7.3.8.5 Prevention programmes (plagiarism documents, plagiarism prevention talks, time table letters with academic integrity warning)




7.3.8.6 Hearing Recordings (.mp3 recording – usually grouped by day)




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


Office responsible for original: Policy owner



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


Office responsible for original: Manager in specific division/Procedure owner.


257

Module files



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.


258



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


8.1.2.2 Programme document and/or other documentation

D2 after submission to ICAS. School Director and programme leader/lecturer


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)



D1

259



8.1.3.3 Form 1: To register a new qualification/programme at SAQA

A as part of the ICAS records.



D1

8.1.3.4 Form 2: To get accreditation for a new qualification/programme at the CHE (the HEQC on-line application)




D1

8.1.3.5 Form 3: Internal approval of modifications to academic programmes




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



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


8.1.4.2 Schedule A as part of the ICAS records (1.3.16)



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


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)


D1

261



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


262



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.


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


8.1.6.6 Lecture responsibilities D3 Lecturer responsible for module.


8.1.6.7 Handbook lists D3 Lecturer responsible for module.


8.1.6.8 Blended learning D3 Lecturer responsible for module.


263



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



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




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




8.1.7.1.4 Memorandums

Memos are referenced by number and module code, e.g. 8.1.7.1.4/LLBL211




264



8.1.7.1.5 Moderators’ reports

Moderators’ reports are referenced by number and module code, e.g. 8.1.7.1.2/LLBL211




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




8.1.7.2.2 Examination papers

Exam papers are referenced by number and module code, e.g. 8.1.7.2.2/LLBL211





265



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


This record forms part of the module file, but can be kept separately.


On the Mafikeng Campus the lecturer is responsible for transferring the papers to the examinations registry under care of the Campus Archivist.


8.1.7.2.4 Memorandums

Memos are referenced by number and module code, e.g. 8.1.7.2.4/LLBL211




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




8.1.7.2.5.2 External

Reports are referenced by number and module code, e.g. 8.1.7.2.5.2/LLBL211




266



8.1.7.2.6 Remarking process

8.1.7.2.6.1 Request form

8.1.7.2.6.2 Result form




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


267



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).



D1

8.2.1.3 ICAS Form 4: Budget form A as part of the ICAS records (1.3.16)



D1

8.2.1.4 ICAS Form 4: Approval form A as part of the ICAS records (1.3.16)



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



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)



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




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



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


8.3.1.5 Student evaluation form D5 after year of awards ITEA co-coordinator on each Campus


270



8.3.1.6 Assessment of contact session D5 after year of awards ITEA co-coordinator on each Campus


8.3.1.7 ITEA panel documentation D5 after year of awards ITEA co-coordinator on each Campus


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


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


8.3.1.10 Database of Annual Winners A Director: Academic Support and Development reporting to the Executive Director: Teaching-learning and Vice-Principal


8.3.1.11 ITEA prestige function administration documentation

A

Photos and programme of the function are sent to the Archives for permanent preservation.



271



8.3.1.12 Financial arrangement concerning awards

(claim form and congratulations letter)

D5 Administrative Officer in department/faculty


8.3.1.13 Score card for contact opportunity D5 Administrative Officer in department/faculty


8.3.1.14 Workshop – evaluation form D5 Administrative Officer in department/faculty


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


8.3.2.2 Option form D3 after completion of course by new lecturer.



8.3.2.3 Registration forms D3 after completion of course by new lecturer.



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.



272



8.3.2.5 Phase 2



Directors: Campus Academic Support and Development reporting to the Vice-Rectors: Quality and Planning


8.3.2.6 Phase 3



Director: Centre for Faith and Science reporting to the Dean of Arts on the Potchefstroom Campus.


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



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


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


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.


8.4.1.2 SI progress report Copy to be sent to 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.


274



8.4.1.3 Warning letters to students Copy to be sent to Student file.


Faculty deans on the Mafikeng Campus.

Administrative manager in the Faculty on the Potchefstroom and Vaal Triangle Campuses.


8.4.1.4 Evaluation of SI facilitators performance D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning


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


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


8.4.1.7 Reports and statistics D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning


8.4.2 Referrals for student support D3 Director: Academic Development and Support/ADC reporting to the Vice-Rector: Quality and Planning


8.4.3 Support for RPL candidates D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning


275



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


8.4.6 Workshops D3 Director: Academic Development and support/ADC reporting to the Vice-Rector: Quality and Planning


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



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.



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


Office responsible for original: Manager in specific division/procedure owner.


279



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)


D1

9.1.1.3 Full proposal development A as part of the Research Support Commission records (1.3.23)


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



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



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


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


D1

282



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



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


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


D1

9.1.2.4 Surveys D5 Director: Research Support reporting to the Executive Director: Research and Innovation


9.1.2.5 Benchmarking and tendency analysis D5 Director: Research Support reporting to the Executive Director: Research and Innovation


284



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)


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.


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



9.1.5.2 Assessments A as part of the records of the Research Ethics Committee (1.3.26)



9.1.5.3 Letters of approval/revision/rejection A as part of the records of the Research Ethics Committee (1.3.26)



9.1.5.4 Certificate of approval A as part of the records of the Research Ethics Committee (1.3.26)



9.1.5.5 Reports on projects A as part of the records of the Research Ethics Committee (1.3.26)



286



9.1.5.6 Forms A as part of the records of the Research Ethics Committee (1.3.26)



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



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.


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


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


D1

9.2.1.3 Institutional contributions for research agency

9.2.1.3.1 Monitoring/reporting


D1

9.2.1.4 Seed funding for Research Entities



D1

288



9.2.1.5 Capacity development funding



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)


D1

9.2.1.7 Seed funding for projects

9.2.1.7.1 Application

9.2.1.7.2 Report


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



9.2.2.2 Research Chairs


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



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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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


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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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.

293

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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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



Other offices’ disposal: D after update or revision

Number Description of record Disposal of original Office responsible for original


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


A1 Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation


10.2.2 Patent based cases


A1 Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation


295



10.2.3 Non-patent based cases


P in office of origin. Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation


10.2.4 Entrepreneurship, Development and Training




10.2.5 Innovation Competitions


P in office of origin.

A information on competitions.

Director: Technology Transfer and Innovation Support reporting to the Executive Director: Research and Innovation


10.2.6 Business Development




10.2.7 Consultation and Innovation Services



D3

296



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


A1 Faculty Dean and Faculty Manager

D1

10.3.3 Sports weeks


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.


10.3.4 Open day visits

Please also refer to subseries 6.6 where this relates to campus marketing activities.



297



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

298



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


A Manager: Community Engagement reporting to the Executive Director: Research and Innovation

D1

299



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

301

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

302

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

303

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

304

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

306

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

307

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

308

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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