Newcastle University

Records Management - Filing

Filing - Generic Functional Filing Scheme - for use by Central Services
LEVEL 0		LEVEL 1		LEVEL 2		LEVEL 3

Main Ref	Main Heading	Sub Ref 1	Sub Heading 1	Sub Ref 2	Sub Heading 2	Sub Ref 3	Sub Heading 3

A	Teaching and Learning	A.1	Teaching Quality & Standards	A.1.1	Policy
				A.1.2	Processes & Procedures
				A.1.3	Annual Monitoring [year]
				A.1.4	External Examiners
				A.1.5	Internal Review [year]
				A.1.6	External Review [year]
				A.1.7	External Accreditation

		A.2	Teaching Policy Development
		A.3	Teaching Procedures Development
		A.4	Taught Programme Development
		A.5	Taught Programme Review

B	Research	B.1	Research Quality & Standards	B.1.1	Policy
				B.1.2	Processes & Procedures
				B.1.3	Research Supervisors
				B.1.4	Internal Review [year]
				B.1.5	External Review [year]	B.1.5.1	Guidance
						B.1.5.2	Submissions
						B.1.5.3	Results
						B.1.5.4	[Named Committee or Working Group] Constitution
						B.1.5.5	[Named Committee or Working Group] Membership
						B.1.5.6	[Named Committee or Working Group] Meetings
		B.2	Research Policy Development	B.2.1	Research Ethics
		B.3	Research Procedures Development
		B.4	Research Business Development
		B.5	Research Project Development

C	Collaborative Programmes	C.1	Collaborative Programmes Quality & Standards	C.1.1	Policy
				C.1.2	Processes & Procedures
				C.1.3	Internal Review
				C.1.4	External Review

		C.2	Collaborative Programmes Policy Development
		C.3	Collaborative Programme Development
		C.4	[Name of programme . Group of programmes]	C.4.1	Formal agreements
				C.4.2	Administration
				C.4.3	Financial arrangements

D	Academic Administration	D.1	Degree Regulations and Programmes of Study
		D.2	Codes of Practice, Guidelines & Regulations
		D.3	Tuition Fees	D.3.1	Fee Policy
				D.3.2	Fee Remission
				D.3.3	Fee Setting
				D.3.4	Fee Collection
		D.4	Student Recruitment	D.4.1	[Named Committee or Working Group]	D.4.1.1	Constitution
						D.4.1.2	Membership
						D.4.1.3	Meetings
		D.5	Student Financial Support	D.5.1	Financial Aid Funds
				D.5.2	Hardship Funds
				D.5.3	Bursaries
				D.5.4	Scholarships & Fellowships
				D.5.5	Prizes
		D.6	Student Academic Appeals	D.6.1	Procedures
				D.6.2	Cases	D.6.2.1	[Appeal]
		D.7	Student Complaints	D.7.1	Procedures
				D.7.2	Cases	D.7.2.1	[Complaint]
		D.8	Student Discipline	D.8.1	Procedures
				D.8.2	Cases	D.8.2.1	[Case name]
		D.9	Student Relations Management

E	Public Relations	E.1	Events	E.1.1	Visits
				E.1.2	Church Services
				E.1.3	Lectures
				E.1.4	Ceremonies
				E.1.5	Exhibitions
				E.1.6	Concerts
				E.1.7	Dinners/Lunches
		E.2	Donations	E.2.1	Gifts
				E.2.2	Bequests
		E.3	Honorary Awards	E.3.1	[category of award]
		E.4	Public Communication Management

F	Strategic Planning & Performance Management	F.1	Strategic Planning	F.1.1	University Strategic Plan
				F.1.2	Strategic issues	F.1.2.1	[issue]
		F.2	Performance Indicators and Targets	F.2.1	Strategic Plan Progress Report [year]
				F.2.2	Balanced Scorecard
				F.2.3	[Ranking/League tables]
				F.2.4	[Performance indicators and targets]
		F.3	Annual Planning and Budgeting (University-Wide)	F.3.1	Processes and procedures	F.3.1.1	Annual planning round - Documentation [year]
				F.3.2	[Named Committees or Working Groups]	F.3.2.1	Constitution
						F.3.2.2	Membership
						F.3.2.3	Meetings
				F.3.4	Income forecasting
				F.3.5	Budget setting
				F.3.6	[Named income incentive schemes]
				F.3.7	Planning submissions
		F.4	Annual Planning and Budgeting [Name of Business Unit]	F.4.1	Processes and Procedures
				F.4.2	[Named committees and working groups,]	F.4.2.1	Constitution
						F.4.2.2	Membership
						F.4.2.3	Meetings
				F.4.3	Budget setting
				F.4.4	Planning Submission
		F.5	Funding administration (University-Wide)	F.5.1	[Named funding stream]	F.5.1.1	Administration
						F.5.1.2	Consultations
						F.5.1.3	Monitoring reports
						F.5.1.4	Forecasting
						F.5.1.5	Lobbying

G	External liaison	G.1	Registrars Office	G.1.1	Correspondence	G.1.1.1	[Years]

H	Governance	H.1	Governance Structure (University-wide)	H.1.1	University Court	H.1.1.1	Constitution
						H.1.1.2	Membership
						H.1.1.3	Meetings
						H.1.1.4	Register of interests
						H.1.1.5	Resolutions
						H.1.1.6	Ordinances
						H.1.1.7	Guidance for members
				H.1.2	Governance Structure Development
		H.2	Committees (University-wide)	H.2.1	[Name of Committee]	H.2.1.1	Named Committee Constitution
						H.2.1.2	Named Committee Membership
						H.2.1.3	Named Committee Meetings
		H.3	Committees [Named Business Unit]	H.3.1	[Name of Committee]	H.3.1.1	Named Committee Constitution
						H.3.1.2	Named Committee Membership
						H.3.1.3	Named Committee Meetings
		H.4	Senior Officers (Executive)	H.4.1	Chancellor
				H.4.2	Vice-Chancellor
				H.4.3	University Registrar	H.4.3.1	AHUA
				H.4.4	Bursar
				H.4.5	Pro-Vice Chancellor [Name]

I	Organizational Hierarchy	I.1	Organizational Change	I.1.1	Policy
				I.1.2	Procedures
				I.1.3	Changes
		I.2	Maintaining the Organizational Hierarchy

J	Legal Affairs	J.1	Claims	J.1.1	Claims by the University	J.1.1.1	[Claim]
				J.1.2	Claims against the University	J.1.2.1	[Claim]
		J.2	Litigation	J.2.1	Litigation by the University	J.2.1.1	[Case]
				J.2.2	Litgation against the University	J.2.2.1	[Case]

K	Government Relations	K.1	UK Government	K.1.1	Communications
				K.1.2	Consultations
				K.1.3	Appointments	K.1.3.1	[New Year - Birthday Honours]
		K.2	Local Government	K.2.1	Communications
				K.2.2	Consultations
		K.3	New Legislation

L	Parliamentary Relations	L.1	Scottish Parliament	L.1.1	Communications
				L.1.2	Consultations
		L.2	UK Parliament	L.2.1	Communications
				L.2.2	Consultations

M	HE Regulator Relations	M.1	[Organization] eg HEFCE	M.1.1	Communications
				M.1.2	Consultations
				M.1.3	Reports
				M.1.4	Meetings.Liaison
				M.1.5	Queries

N	Health & Safety	N.1	Health & Safety (University-Wide)
		N.2	Health & Safety [Name of Business Unit]	N.2.1	Policy
				N.2.2	Procedures
				N.2.3	Audit
				N.2.4	Training
				N.2.5	Hazard identification and risk assessment
				N.2.6	Hazardous substance exposure control
				N.2.7	Health and safety inspection
				N.2.8	Incident Recording, Reporting & Investigation
				N.2.9	Emergency Planning	N.2.10	Fire Alarm Tests
						N.2.11	Fire Drills

O	Procurement	O.1	Procurement [Name of Business Unit]	O.1.1	Tendering
				O.1.2	Contract Management
				O.1.3	Purchasing Administration

P	Estates	P.1	Estates (University-Wide)
		P.2	Estates [Named Business Unit]	P.2.1	Building management
				P.2.2	Space management
				P.2.3	Facility development
				P.2.4	Facility maintenance
				P.2.5	Security Management



Q	Intellectual Policy Exploitation	Q.1	Policy
		Q.2	Procedures
		Q.3	Patent Administration
		Q.4	Copyright Administration

R	Finance	R.1	Finance (University-Wide)	R.1.1	Investment Management	R.1.1.1	[University Trusts]
		R.2	Finance [Named Business Unit]	R.2.1	Policy
				R.2.2	Procedures
				R.2.3	Accounts

S	Human Resources	S.1	Workforce Training & Development (University-wide)	S.1.1	Policy
				S.1.2	Procedures
				S.1.3	Training Proposal and Content	S.1.3.1	[Training Course/ Event]
				S.1.4	Training Evaluation
				S.1.5	Training Administration
				S.1.6	Training Programme Development
				S.1.7	Training Strategy
		S.2	Workforce Training & Development [Named Business Unit]	S.2.1	Policy
				S.2.2	Procedures
		S.3	Employee Contract Management [Named Business Unit]	S.3.1	Policy
				S.3.2	Procedures
				S.3.3	Case files	S.3.3.1	[Name of member of staff]
		S.4	Recruitment to University Chairs	S.4.1	Policy
				S.4.2	Procedures
				S.4.3	Individual campaigns	S.4.3.1	[Name of post]
		S.5	Recruitment [Named Business Unit]	S.5.1	Policy
				S.5.2	Procedures
				S.5.3	Individual campaigns	S.5.3.1	[Name of post]

T	Information Resources	T.1	Records Management (University-wide)	T.1.1	Policy
				T.1.2	Processes & Procedures
				T.1.3	Guidance	T.1.3.1	Queries
						T.1.3.2	[Guidance Topic]
				T.1.4	[Named Committee or Working Group]	T.1.4.1	Committee or Working Group Constitution
						T.1.4.2	Committee or Working Group Membership
						T.1.4.3	Committee or Working Group Meetings
				T.1.5	External co-ordination and liaison
				T.1.6	Projects
		T.2	Records Management [Name of Business Unit]	T.2.1	Policy
				T.2.2	Processes & Procedures
				T.2.3	Guidance	T.2.3.1	Guidance Queries
						T.2.3.2	[Guidance Topic]
				T.2.4	[Named Committee or Working Group]	T.2.4.1	Committee and Working Group Constitution
						T.2.4.2	Committee or Working Group Membership
						T.2.4.3	Committee or Working Group Meetings
				T.2.5	Projects
		T.3	Access to Information (University-wide)	T.3.1	Policy
				T.3.2	Processes & Procedures
				T.3.3	Guidance	T.3.3.1	Queries
						T.3.3.2	[Guidance Topic]
				T.3.4	[Named Committee or Working Group]	T.3.4.1	Committee or Working Group Constitution
						T.3.4.2	Committee or Working Group Membership
						T.3.4.3	Committee or Working Group Meetings
				T.3.5	External co-ordination and liaison
				T.3.6	Notification
				T.3.7	Requests for information	T.3.7.1	[Name of applicant]
				T.3.8	Publication Scheme
				T.3.9	Awareness raising
				T.3.10	Projects
		T.4	Access to information [Name of Business Unit]	T.4.1	Policy
				T.4.2	Processes & Procedures
				T.4.3	Guidance	T.4.3.1	Guidance Queries
						T.4.3.2	[Guidance Topic]
				T.4.4	[Named Committee or Working Group]	T.4.4.1	Committee or Working Group Constitution
						T.4.4.2	Committee or Working Group Membership
						T.4.4.3	Committee or Working Group Meetings
				T.4.6	Publication Scheme
		T.5	Copyright	T.5.1	Policy
				T.5.2	Processes & Procedures
				T.5.3	Guidance	T.5.3.1	Queries
						T.5.3.2	[Guidance Topic]
				T.5.4	Licensing
		T.6	Websites	T.6.1	[Website]
		T.7	Publications Management
		T.8	Management Information	T.8.1	[Type of management information]	T.8.1.1	Processes and procedures
						T.8.1.2	Datasets
						T.8.1.3	Reports
				T.8.2	Guidance	T.8.2.1	Queries
						T.8.2.2	[Guidance Topic]

U	Newcastle University Students Union	U.1	Funding

V	Information and Communications Technology (ICT)	V.1	Information and Communications Technology [Name of Business Unit]	V.1.1	User support

W	Internal Services	W.1	[Name of Service]	W.1.1	Planning
				W.1.2	Performance
				W.1.3	Policy
				W.1.4	Processes and Procedures
				W.1.5	Operations

X	Commercial Services	X.1	[Name of service]	X.1.1	Commercial Service Delivery
				X.1.2	Policy Development
				X.1.3	Procedures Development
				X.1.4	Commercial Service Proposal Development
				X.1.5	Commercial Service Planning
				X.1.6	Commercial Service Promotion

Y	Media Relations	Y.1	Communications with the Media

Z	HE Sector Relations	Z.1	Universities UK	Z.1.1	[Name of UUK Group ]
		Z.2	Universities Scotland	Z.2.1	[Name of UScotland Group]
		Z.3	Association of University Administrators [AUA]	Z.2.2	[Name of AUA Group]

AA	Alumni Relations	AA.1	Strategy Development
		AA.2	Policy Development
		AA.3	Procedures Development
		AA.4	Alumni Communications Management
		AA.5	Alumni Event Management
		AA.6	General Register
		AA.7	Alumni Support
		AA.8	Convocation
		AA.9	Alumni Association	AA.9.1	Constitution
				AA.9.2	Membership
				AA.9.3	Meetings
				AA.9.4	Resolutions

AB	Fundraising	AB.1	Donations

AC	Risk Management	AC.1	Risk Management (University-Wide)	AC.1.1	Risk Management Strategy
				AC.1.2	Risk Management Planning
				AC.1.3	Risk Management Identification and Assessment
				AC.1.4	Business Continuity Planning	AC.1.4.1	Policy
						AC.1.4.2	Procedures
				AC.1.5	[Named Committee or Working Group]	AC.1.5.1	Committee or Working Group Constitution
						AC.1.5.2	Committee or Working Group Membership
						AC.1.5.3	Committee or Working Group Meetings
		AC.2	Risk Management [Name of Business Unit]	AC.2.1	Risk Management Strategy
				AC.2.2	Risk Management Planning
				AC.2.3	Risk Management Identification and Assessment
				AC.2.4	Business Continuity Planning	AC.2.4.1	Policy
						AC.2.4.2	Procedures
				AC.2.5	[Named Committee or Working Group]	AC.2.5.1	Committee or Working Group Constitution
						AC.2.5.2	Committee or Working Group Membership
						AC.2.5.3	Committee or Working Group Meetings

AD	Audit	AD.1	Individual Audits

AE	Student Support Services	AE.1	[Name of student service]	AE.1.1	Strategy
				AE.1.2	Policy
				AE.1.3	Processes and Procedures
				AE.1.4	Operations

Newcastle University

Records Management - Filing

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