Study of Records Lifecycle Function Activity Model (FAM) section E - Corporate Management - within Site Content

Function activity model - Corporate Management

Study of Records Lifecycle

Contents

  • Strategic Planning & Performance Management
  • Governance
  • Risk Management
  • Quality Management
  • Audit
  • Legal Affairs Management
  • Government Relations Management
  • HE Regulator Relations Management
  • Students’ Union Relations Management
  • Organisational Development
  • Health & Safety Management
  • Environmental Management

Strategic Planning and Performance Management

The function of developing and establishing the institution’s overall strategy, developing its strategic plan and managing its overall performance against the plan.

Strategic Planning & Performance Management Policy Development        

RRS15.1 

The activities involved in developing and establishing the institution’s strategic planning and performance management policies.

Strategic Planning & Performance Management Procedures Development        

RRS15.2

The activities involved in developing the institution’s strategic planning and performance management procedures.

Strategy Development        

RRS15.3

The activities involved in developing the institution’s corporate strategy development and planning policies.

Strategic Planning        

RRS15.4

The activities involved in developing the institution’s strategic plan.

Strategic Performance Management        

RRS15.5

The activities involved in monitoring the institution’s overall performance against the strategic plan, reviewing under-achievement to inform the ongoing development of the strategy and strategic plan.

Governance

The function of developing the institution’s corporate governance structure and rules, and in conducting business in accordance with those rules.

Legal Framework Development        

RRS16.1 

The activities involved in establishing and, where appropriate, changing the legal status of the institution.

Governance Structure Development        

RRS16.2

The activities involved in developing and establishing the institution’s governance structure and rules.

Governing Body Management        

RRS16.3

The activities involved in managing the work of the institution’s governing body.

For Pre-1992 Universities (England, Wales and Northern Ireland), the governing body is the Council. For Post-1992 Universities and Colleges of Higher Education (England and Wales), the governing body is the Board of Governors.

Activities include: appointing members of the governing body; providing members with opportunities for training and development; conducting meetings of the governing body; servicing meetings of the governing body.

Executive Committee Management        

RRS16.4

The activities involved in managing the work of the executive committees that support the institution’s governing body.

For Pre-1992 Universities (England, Wales and Northern Ireland), these committees include the Senate and the Court. For Post-1992 Universities and Colleges of Higher Education (England and Wales), these committees include the Academic Board.

Activities include: establishing terms of reference, membership and mode of operation of committees; appointing members of committees; providing members with opportunities for training and development; conducting meetings of executive committees; servicing meetings of executive committees.

Senior Officers Appointments Management        

RRS16.5

The activities involved in appointing and designating the institution’s senior officers.

For Pre-1992 Universities (England, Wales and Northern Ireland), senior officers include the Chancellor, Pro-chancellor(s), Treasurer, Vice-chancellor, Pro-vice-chancellor(s) and the Registrar. For Post-1992 Universities and Colleges (England and Wales), senior officers include the Chancellor, Chairman of the Board of Governors, Head of the institution and the Secretary (or Clerk) to the Board of Governors.

Risk Management

The activities involved in managing identified risks to the viability or success of the institution.

Risk Management Strategy Development        

RRS17.1 

The activities involved in developing and establishing the institution’s risk management strategy.

Risk Management Planning        

RRS17.2

The activities involved in formulating plans to implement the institution’s risk management strategy.

Risk Management Performance Management        

RRS17.3

The activities involved in monitoring the institution’s performance against the plans for implementing its risk management strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

Risk Management Policy Development        

RRS17.4

The activities involved in developing and establishing the institution’s risk management policies.

Risk Management Procedures Development        

RRS17.5

The activities involved in developing the institution’s risk management procedures.

Risk Identification & Assessment        

RRS17.6

The activities involved in identifying risks to the viability or success of the institution, and assessing the likelihood of occurrence and the potential consequences.

Business Continuity Planning        

RRS17.7

The activities involved in anticipating incidents or events that would disrupt the institution’s operations and developing response and recovery plans.

Quality Management

The function of managing overall quality in the institution.

For managing teaching quality and standards, use 1.6 Teaching – Teaching Quality & Standards Management.

For managing research quality and standards, use 2.6 Research – Research Quality & Standards Management.

Quality Management Strategy Development        

RRS18.1 

The activities involved in developing and establishing the institution’s overall quality management strategy.

Quality Management Planning        

RRS18.2

The activities involved in formulating plans to implement the institution’s overall quality management strategy.

Quality Management Performance Management        

RRS18.3

The activities involved in monitoring the institution’s performance against the plans for implementing its overall quality management strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

Quality Management Policy Development        

RRS18.4

The activities involved in developing and establishing the institution’s overall quality management policies.

Quality Management Procedures Development        

RRS18.5

The activities involved in developing the institution’s overall quality management procedures.

Quality Audit        

RRS18.6 

The activities involved in undertaking quality audits.

Activities include: planning audits; conducting audit investigations; writing and delivering audit reports; reviewing and responding to audit reports, including drawing up action plans to address issues raised.

Quality Management Scheme Accreditation Management        

RRS18.7

The activities involved in managing the process of obtaining and maintaining accreditation under established external quality management schemes (e.g. EQUIS).

Audit

The function of conducting audits of the institution’s affairs and operations for internal control purposes and to ensure compliance with institutional, industry or legal requirements.

Audits include both internal and external audits.

For engaging external auditors, use the appropriate section of  35  Procurement.

For conducting financial audits, use 28.6 Finance Management – Financial Audit.

For conducting health and safety audits, use 25.6 Health & Safety Management – Health & Safety.

For conducting environmental audits, use  26.6 Environmental Management – Environmental Audit.

Audit Strategy Development        

RRS19.1 

The activities involved in developing and establishing the institution’s audit strategy.

Audit Planning        

RRS19.2

The activities involved in formulating plans to implement the institution’s audit strategy.

Audit Performance Management        

RRS19.3

The activities involved in managing the institution’s performance against the plans for implementing its audit strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

Audit Policy Development        

RRS19.4

The activities involved in developing and establishing the institution’s audit policies.

Audit Procedures Development        

RRS19.5

The activities involved in developing the institution’s audit procedures.

Audit Management        

RRS19.6

The activities involved in managing the conduct of audits.

Audits include internal audits undertaken by specialist staff and independent audits undertaken by external auditors commissioned by the institution, or by the National Audit Office.

Activities include: planning audits; conducting internal audit investigations; writing and delivering internal audit reports; specifying requirements for independent audits; facilitating the conduct of independent audits; reviewing and responding to audit reports, including drawing up action plans to address issues raised.

Legal Affairs Management

The function of managing the institution’s legal affairs.

Legal services may be provided by employees or external legal advisers.

For engaging external legal advisers, use the appropriate section of 35 Procurement.

Legal Affairs Management Policy Development        

RRS20.1 

The activities involved in developing and establishing the institution’s policies for the management of its legal affairs.

Legal Affairs Management Procedures Development        

RRS20.2

The activities involved in developing the institution’s procedures for the management of its legal affairs.

Contracts & Agreements Management        

RRS20.3

The activities involved in managing the processes associated with the negotiation, establishment, maintenance and review of contracts and agreements.

Legal Claims Management        

RRS20.4

The activities involved in handling claims by or against the institution which do not proceed to litigation or settlement by an agreement.

Litigation Management        

RRS20.5

The activities associated with managing legal actions or legal proceedings between the institution and other parties in a court or other tribunal.

Activities include: briefing counsel; providing documents required by a court; consulting with other agencies.

Legal Interpretation & Advice Provision        

RRS20.6

The activities associated with interpreting legal provisions that apply to the institution and providing opinions and advice to the institution on legal matters.

Government Relations Management

The function of managing the institution’s overall relationship with government departments and agencies.

Government Relations Strategy Development       

RRS21  

The activities involved in developing and establishing the institution’s government relations strategy.

Government Relations Management Planning        

RRS21

The activities involved in formulating plans to implement the institution’s government relations strategy.

Government Relations Management Performance Management        

RRS21

The activities involved in managing the institution’s performance against the plans for implementing its government relations strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

Government Relations Management Policy Development        

RRS21

The activities involved in developing and establishing the institution’s policies for the management of its relationships with government departments and agencies.

Government Relations Management Procedures Development        

RRS21

The activities involved in developing the institution’s procedures for the management of its relationships with government departments and agencies.

Government Communication Management        

RRS21

The activities involved in managing communications with government departments and agencies.

Activities include: handling requests for information from government departments and agencies; liaising with government bodies carrying out surveys or consultations; participating in formal inquiries and investigations (e.g. Royal Commissions, public inquiries).

HE Sector Legislation Development        

RRS21

The activities involved in managing the institution’s input to the preparation, development and implementation of legislation affecting the HE sector as a whole or the institution’s individual legal status, mandate or activities.

Activities include: responding to government proposals or consultations on legislation affecting the HE sector, the institution or its staff, students or local community.

HE Regulator Relations Management

The function of managing the institution’s overall relationship with HE regulators.

HE regulators include: government departments, funding councils, inspectorates, standards bodies, research councils and professional bodies.

HE Regulator Relations Strategy Development        

RRS22 

The activities involved in developing and establishing the institution’s HE regulator relations strategy.

HE Regulator Relations Management Planning        

RRS22

The activities involved in formulating plans to implement the institution’s HE regulator relations strategy.

HE Regulator Relations Management Performance Management        

RRS22

The activities involved in managing the institution’s performance against the plans for implementing its HE regulator relations strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

HE Regulator Relations Management Policy Development        

RRS22

The activities involved in developing and establishing the institution’s policies for the management of its relationships with its regulators.

HE Regulator Relations Management Procedures Development        

RRS22

The activities involved in developing the institution’s procedures for the management of its relationships with its regulators.

HE Regulator Communication Management        

RRS22

The activities involved in managing corporate-level communications with its regulators.

Activities include: conducting meetings with regulators; compiling reports and statistics to meet statutory obligations or regulators’ specific requirements; submitting reports and internal documents to regulators for scrutiny and approval; responding to consultations or surveys by regulators; dealing with ad hoc issues and queries raised by regulators.

Use this section for corporate-level communications only. For working with regulators on specific activities, use the appropriate function and activity section. For example: for working with the QAAHE on specific reviews and audits of the institution’s teaching quality and standards, use  1.6 Teaching – Teaching Quality & Standards Management; for participating in the funding councils’ Research Assessment Exercise, use  2.6 Research – Research Quality & Standards Management; for communications with the Health & Safety Executive about a specific incident, use 25.12 Health & Safety Management – Health & Safety Incident Recording, Reporting & Investigation.

Students' Union Relations Management

The function of managing the institution’s relationship with its students’ union, to fulfil its responsibilities under the Education Act 1994.

Students’ Union Relations Strategy Development        

RRS23 

The activities involved in developing and establishing the institution’s students’ union relations strategy.

Students’ Union Relations Management Planning        

RRS23

The activities involved in formulating plans to implement the institution’s students’ union relations strategy.

Students’ Union Relations Management Performance Management        

RRS23

The activities involved in managing the institution’s performance against the plans for implementing its students’ union relations strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

Students’ Union Relations Management Policy Development        

RRS23

The activities involved in developing and establishing the institution’s policies for the management of its relationships with its students’ union.

Students’ Union Relations Management Procedures Development        

RRS23

The activities involved in developing the institution’s procedures for the management of its relationships with its students’ union.

Activities include preparing the institution’s code of practice setting out how the provisions of the Education Act 1994 are to be implemented.

Students’ Union Constitution Review & Approval        

RRS23

The activities involved in reviewing and approving the students’ union constitution, other than formal review and approval by the institution’s governing body.

The institution’s governing body is required to formally review and approve the students’ union constitution. For records relating to this process, use 16.3 Governance – Governing Body Management. Use this section for all other activities.

Students’ Union Funding        

RRS23

The activities involved in providing funding for the students’ union.

For payment of funds, use  28.7 Finance Management – Financial Accounting.

Students’ Union Financial Monitoring        

RRS23

The activities involved in monitoring the financial affairs of its students’ union, other than formal monitoring and, where appropriate, approval by the institution’s governing body.

The institution’s governing body is required to formally review and approve the budgets of the students’ union and monitor its expenditure. For records relating to these processes, use 16.3 Governance – Governing Body Management. Use this section for all other activities.

Students’ Union Operations Monitoring        

RRS23

The activities involved in monitoring the operations of the institution’s students’ union.

Activities include: monitoring the conduct of the students’ union’s elections; monitoring the students’ union’s affiliations; monitoring and, where appropriate, investigating complaints against the students’ union.

For records relating to the review of reports and other official action by the institution’s governing body, use  16.3 Governance – Governing Body Management. Use this section for all other activities.

Organisational Development

The function of developing the institution’s organisational structure and culture.

Organisational Development Strategy Development        

RRS24 

The activities involved in developing and establishing the institution’s organisational development strategy.

Organisational Development Planning        

RRS24

The activities involved in formulating plans to implement the institution’s organisational development strategy.

Organisational Development Performance Management        

RRS24

The activities involved in managing the institution’s performance against the plans for implementing its organisational development strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised.

Organisational Development Policy Development        

RRS24

The activities involved in developing and establishing the institution’s organisational development policies.

Organisational Development Procedures Development        

RRS24

The activities involved in developing the institution’s organisational development procedures.

Organisational Restructuring        

RRS24

The activities involved in carrying out organisational restructuring plans.

Health and Safety Management

The function of managing the impact of the institution’s operations on the health and safety of its staff, students and others, and ensuring compliance with health and safety legislation, regulations and standards.

Health & Safety Management Strategy Development        

RRS25 

The activities involved in developing and establishing the institution’s health and safety management strategy.

Health & Safety Management Planning        

RRS25

The activities involved in formulating plans to implement the institution’s health and safety management strategy.

Health & Safety Management Performance Management        

RRS25

The activities involved in managing the institution’s performance against the plans for implementing its health and safety management strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised; reporting on performance to statutory authorities and to internal and external stakeholders.

Health & Safety Management Policy Development        

RRS25

The activities involved in developing and establishing the institution’s health and safety management policies.

Health & Safety Management Procedures Development        

RRS25

The activities involved in developing the institution’s health and safety management procedures.

Health & Safety Audit        

RRS25

The activities involved in conducting health and safety audits of the institution’s activities and operations.

Activities include: planning audits; conducting audit investigations; writing and delivering audit reports; reviewing and responding to audit reports, including drawing up action plans to address issues raised.

Health & Safety Consultation        

RRS25

The activities involved in consulting the institution’s workforce, either directly or through representatives, on the management of health and safety matters within the institution.

Health & Safety Information, Instruction & Training Provision        

RRS25

The activities involved in providing information, instruction and training on health and safety matters to staff, students and others who use the institution’s facilities.

Health & Safety Hazard Identification & Risk Assessment        

RRS25

The activities involved in identifying health and safety hazards in the institution’s premises or caused by its operations, conducting risk assessments to establish the likelihood and consequences of those risks and implementing appropriate measures to eliminate the risks or to mitigate their consequences.

Hazardous Substance Exposure Control        

RRS25

The activities involved in controlling the exposure of staff, students and others to hazardous substances on the institution’s premises or in other places affected by its operations.

Health & Safety Inspection        

RRS25

The activities involved in conducting health and safety inspections of the institution’s premises and operations.

Health & Safety Incident Recording, Reporting & Investigation        

RRS25

The activities involved in recording and investigating accidents, dangerous occurrences and outbreaks of disease on the institution’s premises, and the reporting of reportable incidents to the enforcing authorities.

Employee Health Surveillance        

RRS25

The activities involved in monitoring the health of employees who are exposed to identified health risks in the course of their work with/in the institution.

Health & Safety Emergency Planning        

RRS25

The activities involved in planning for the handling of health and safety incidents on the institution’s premises which require the involvement of specially trained staff and/or the public emergency services.

Activities include: assessing requirements for fire wardens and first-aiders; appointing and training fire wardens and first-aiders; assessing requirements for fire-fighting, first aid and other emergency response equipment; making arrangements with external emergency service organisations for the provision of first aid, emergency medical assistance, fire-fighting and rescue services.

Environmental Management

The function of managing the impact of the institution and its business on the environment, and ensuring compliance with environmental legislation.

Environmental Management Strategy Development        

RRS26 

The activities involved in developing and establishing the institution’s environmental management strategy.

Environmental Management Planning        

RRS26

The activities involved in formulating plans to implement the institution’s environmental management strategy.

Environmental Management Performance Management        

RRS26

The activities involved in managing the institution’s performance against the plans for implementing its environmental strategy.

Activities include: developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised; reporting on performance to statutory authorities and to internal and external stakeholders.

Environmental Management Policy Development        

RRS26

The activities involved in developing and establishing the institution’s environmental management policies.

Environmental Management Procedures Development        

RRS26

The activities involved in developing the institution’s environmental management procedures.

Environmental Audit        

RRS26

The activities involved in conducting environmental audits of the institution’s activities and operations.

Activities include: planning audits; conducting audit investigations; writing and delivering audit reports; reviewing and responding to audit reports, including drawing up action plans to address issues raised.

Environmental Hazard Identification & Risk Assessment        

RRS26

The activities involved in identifying environmental risks affecting the institution’s premises or operations, conducting risk assessments to establish the likelihood and consequences of those risks and implementing appropriate measures to eliminate the risks or to mitigate their consequences.

Environmental Management Scheme Accreditation Management        

RRS26

The activities involved in managing the process of obtaining and maintaining the institution’s accreditation under established environmental management schemes.

Environmental Awareness Promotion        

RRS26

The activities involved in raising awareness of environmental issues among the institution’s staff and students, to improve the institution’s overall environmental performance.

Environmental Incident Recording, Reporting & Investigation        

RRS26

The activities involved in recording and investigating environmental incidents on the institution’s premises or caused by its operations, and the reporting of reportable incidents to the enforcing authorities.

Energy Management        

RRS26

The activities involved in monitoring and controlling the institution’s use and consumption of energy.

Waste Management        

RRS26

The activities involved in collecting, classifying, storing and disposing of the institution’s waste.

Waste includes: ‘household waste’, ‘industrial waste’ and ‘commercial waste’ as defined in the Controlled Waste Regulations 1992; ‘special waste’ as defined in the Special Waste Regulations 1996. For practical purposes, these categories include: office waste; catering waste; redundant equipment and consumables; redundant records; clinical waste; other hazardous waste.

For negotiating and managing contracts with waste disposal contractors, use the appropriate sections of  35  Procurement.

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