Assistant Provost/Faculty Personnel

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Adjunct Appointment Files

Arranged By:   Alphabetical by year
Application Number:   89-27
Item Number:   110.01

Purpose

This record series consists of appointment papers and resumes maintained for all individuals given adjunct appointments to the University (those who receive faculty status in order to use University space and equipment but receive no benefits or pay).

Procedure

Retain in office for five (5) years following termination of appointment, then dispose of providing all administrative value has expired.

Annual Reports of the Academic

Arranged By:   Chronological
Application Number:   89-27
Item Number:   110.02

Purpose

This record series consists of annual reports of the academic staff, which list the following information for each member of the University's academic staff:  name, rank, degree(s), title, appointment period, last and current year salary, whether or not tenured, graduate faculty status, total years at the University, and overall total years teaching.

Procedure

Retain in office for five (5) years, then transfer to the University Archives for permanent retention.

Extra Compensation Appointment Files

Arranged By:   Alphabetical by semester
Application Number:   89-27
Item Number:   110.03

Purpose

This record series consists of appointment papers for extra compensation position agreements in which full time faculty members are paid above their regular salaries for activities such as extension teaching, research assistance, etc.

Procedure

Retain in office for sixty-five (65) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.
Administrative Correspondence and Reference Files

Arranged By:   By college or department
Application Number:   89-27
Item Number:   110.04

Purpose

This record series consists of correspondence and reference material pertaining to the policies, procedures, and function of the Personnel Department of the Provost's Office.  Examples of records maintained in these files are:  copies of regulations and interpretations of Board of Regents policies; academic procedures manuals; various reports produced by the Personnel Department (i.e., various budget, payroll and insurance reports, various reports regarding current and new faculty members, etc.), correspondence regarding policy interpretation, faculty promotions, tenure recommendations, and routine University correspondence.

Procedure

Retain in office for three (3) years, then with the assistance of the University Archives staff, review files and remove any materials possessing long term historical value (minutes of meetings, significant departmental reports, policy formulation correspondence, etc.) and transfer these records to the University Archives for permanent retention.  Records that do not possess any further administrative value are to be disposed of providing no litigation is pending or anticipated.

Educational Benefits File

Arranged By:   Alphabetical by semester
Application Number:   89-27
Item Number:   110.05

Purpose

This record series consists of educational benefit forms completed by faculty and no-rank faculty members so that they may take University courses at no cost to them.  Any faculty or no-rank faculty members may take up to eight years of course work per semester at no cost.  Information on the form includes name, position, classes the individual plans to take, total credit hours, etc.

Procedure

Retain in office for six (6) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Faculty and No-Rank Faculty Personnel Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   110.06

Purpose

This record series consists of personnel files for all faculty and no-rank faculty members of Northern Illinois University.  Included within the files are:  appointment papers, resumes, applications, letters of recommendation, college transcripts, contracts, proposals for leaves of absence and/or sabbatical, notifications regarding promotions and tenure, salary increment information, resignations or termination papers (if applicable), disciplinary papers (if applicable), verification requests for prior or current employment, copies of work visas (if applicable), and any related correspondence.

Procedure

Retain in office for sixty-five (65) years following termination of employment, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Immigration Verification (I-9) Forms

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   110.07

Purpose

This record series consists of immigration verification (I-9) forms maintained for all faculty and no-rank faculty members.  These forms are used to verify the citizenship status of all employees.

Procedure

Retain in office for sixty-five (65) years following termination of employment, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Inactive Personnel Cards

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   110.08

Purpose

This record series consists of reference cards for all inactive faculty and no-rank faculty members.  Information contained on the cards include name, department, rank, dates of employment, degrees earned, address, etc.

Procedure

Retain in office for one (1) year or until expiration of all administrative value, whichever is longer, then dispose of.

Board of Regents Personnel Reports

Arranged By:   Chronological
Application Number:   89-27
Item Number:   110.09

Purpose

This record series consists of annual personnel reports prepared by the Provost's Office for the Board of Regents.  Included in the reports are employee listings (name, department rank, salary, etc.) along with listings of all resignations, terminations, retirements, leaves, summer session appointments, sabbaticals, and all faculty recommended for promotion, tenure and/or extra compensation.

Procedure

Retain in office for five (5) years, then transfer to the University Archives for permanent retention.

Faculty Replacement Records

Arranged By:   Alphabetical by division, then by department
Application Number:   89-27
Item Number:   110.1

Purpose

This record series consists of logbooks used to record all personnel replacements for faculty and no-rank faculty positions throughout all departments of the University.

Procedure

Retain in office for ten (10) years, then transfer to the University Archives for permanent retention.

Request Forms for Faculty Hiring

Arranged By:   By college, division, then department
Application Number:   89-27
Item Number:   110.11

Purpose

This record series consists of permission request forms completed by the various departments of the University and filed with Provost's Office when they are seeking to fill a faculty/no-rank faculty position.  A decision to fill a position is made by the Provost's Office according to various University criteria (a position is open, funding is available, etc.) after the form is received.

Procedure

Retain in office for five (5) years following decision on the request, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Sabbatical Leave Reports

Arranged By:   Alphabetical by year
Application Number:   89-27
Item Number:   110.12

Purpose

This record series consists of reports completed by faculty members regarding where they went and what they accomplished while on sabbatical leave.  These reports must be completed and filed by all faculty members who have taken sabbatical leave before another will be granted.

Procedure

Retain in office for five (5) years following termination of employment, then dispose of.

Salary Increment Information Files

Arranged By:   Chronological
Application Number:   89-27
Item Number:   110.13

Purpose

This record series consists of working papers used by the Provost's Office in determining the base pay of all faculty/no-rank faculty members.  Also included in the files are duplicate payroll reports listing each employee's base pay and reports listing the base pay plus any merit adjustment pay added to the base pay for each year.

Procedure

Retain in office for six (6) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Student Loan Default Certification

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   110.14

Purpose

This record series consists of forms filled out and signed by employees to certify that they are not in default of any student loan in excess of $600.00 or for a period longer than six months.

Procedure

Retain in office for ten (10) years following termination, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Summer Session Payroll Rosters

Arranged By:   Chronological
Application Number:   89-27
Item Number:   110.15

Purpose

This record series consists of payroll rosters for the summer session which list the name of each faculty member, the period for which they are employed, and the salary for each.

Procedure

Retain in office for three (3) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Tuition Contribution Program Files

Arranged By:   Alphabetical by semester
Application Number:   89-27
Item Number:   110.16

Purpose

This record series consists of the tuition contribution program files maintained by the Provost's Office.  Children of the faculty/no-rank faculty members have one-half of their tuition waived when they attend any of the schools in the Board of Regents system.  This form contains general data (name, social security number, etc.) regarding the employee and his child and designates whether the child, if a male, has registered with the selective service.  Original forms are maintained by the Student Financial Aids Office.

Procedure

Retain in office for three (3) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Vacation/Sick Leave Reports

Arranged By:   Alphabetical by department
Application Number:   89-27
Item Number:   110.17

Purpose

This record series consists of annual vacation and sick leave reports received by the Provost from each department recording the amount of sick and vacation days for each faculty and no-rank faculty member.  Original vacation and sick leave documentation are contained in the faculty and no-rank faculty personnel files.

Procedure

Retain in office for three (3) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Contact Us

Ethics and Compliance Office
Health Services Building, 2nd floor
815-753-5560
eco@niu.edu