College of Liberal Arts and Sciences-Office of the Dean

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Personnel Files

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   380.01

Purpose

This series contains faculty contracts for instruction and other professional services, sabbatical leave approval forms, staff appointment papers, materials pertaining to promotion, tenure, etc., grant award documentation, performance evaluations, copies of vitae, Affirmative Action reports (maintained in original format by the University's Affirmative Action Office) and position descriptions. The University-wide record copy personnel files maintained by the Office(s) of the Assistant Provost for Faculty Personnel and the Office of Personnel (under the Vice-President for Finance and Planning) will be scheduled for significantly longer retention periods.

Procedure

Retain in office for five (5) years after separation from 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.

Administrative Correspondence and Related Documents

Arranged By:   Chronological
Application Number:   89-27
Item Number:   380.02

Purpose

In addition to administrative correspondence, this file contains copies of University Council minutes, Board of Regents reports, College Curriculum Committee minutes (by department), and budget administration papers and correspondence.

Procedure

Retain in office for three (3) years, then with the assistance of the University Archives staff, review the series and transfer to the University Archives for permanent retention materials possessing archival/research value and dispose of the balance of materials after completion of the foregoing review(s) providing no litigation is pending or anticipated.

Sabbatical Leave Reports

Arranged By:   Chronological
Application Number:   89-27
Item Number:   380.03

Purpose

This is a report prepared by faculty detailing professional activities and accomplishments while on sabbatical leave.  Central personnel files for faculty are maintained by the Office of the Assistant Provost for Faculty Personnel.  the latter files contain master faculty personnel administration documentation and consequently will be scheduled for a longer retention period.

Procedure

Retain in office for five (5) years after separation from 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.

Personnel Time and Attendance Records

Arranged By:   Chronological
Application Number:   89-27
Item Number:   380.04

Purpose

These time and attendance records consist of listings of time used and absence request/authorization forms.  The central master copies of these time and attendance records are maintained by the Office of the Assistant Provost for Faculty Personnel and the Office of Personnel (under the Vice President for Finance and Planning) for civil service staff.  This documentation is maintained within or with respect to individual personnel files and will be scheduled for a longer retention period accordingly.

Procedure

Retain in office for five (5) 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.

Departmental Annual

Arranged By:   Chronological
Application Number:   89-27
Item Number:   380.05

Purpose

These are departmental annual reports documenting special projects and activities of the various academic departments comprising the College of Liberal Arts and Sciences.  Data from these reports have been abstracted and summarized within Illinois Board of Higher Education Reports and RAMPS which are distributed throughout the higher education system.

Procedure

Retain in office for five (5) years, then offer to the University Archives.  If the offer is refused, then dispose of.

Graduate Assistantship Files

Arranged By:   Alphabetical and Chronological
Application Number:   89-27
Item Number:   380.0

Purpose

These files of graduate assistants contain copies of graduate assistantship contracts and related notices of change forms.  Graduate assistantships are annually renewed.  The central graduate assistantship files are maintained by the University's Graduate School and will be scheduled for appropriate disposition from that office.

Procedure

Retain in office for two (2) 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 Position Sheets

Arranged By:   Alphabetical and Chronological
Application Number:   89-27
Item Number:   380.07

Purpose

These sheets list faculty positions by title and list summer appointments.  The University recommends a two (2) year retention period for this record based on active reference rates prevailing for an average of two (2) years.

Procedure

Retain in office for two (2) years, then dispose of.

General Administrative Correspondence and Reference Files

Arranged By:   Alphabetical by subject
Application Number:   89-27
Item Number:   380.08

Purpose

This record series includes administrative correspondence detailing matters of functions, procedures of organizational and policy decision-making and general correspondence documenting transactions of a routine nature such as referrals, courtesy replies, inquiries and letters of transmittal.

Procedure

Retain in office for three (3) years, then dispose of all duplicate and/or extraneous items.  Transfer remaining accumulation to the University Archives for evaluation and accessioning of records possessing archival value and the disposal of remaining materials.

Student Files

Arranged By:   By active and inactive, then Alphabetical
Application Number:   89-27
Item Number:   380.09

Purpose

This record series consists of student files for the College of Liberal Arts and Sciences, as well as for all temporary students, non-degree students, and post-baccalaureate students.  Forms/documents found in a student file are transcripts; student admission slips; transfer evaluations; grade slips; change of grade forms; test scores; orientation sheets; withdrawal forms; records of academic probation/dismissal; graduation progress checks; and correspondence with the student.

Procedure

Retain in office for five (5) years after graduation or date of last attendance, then dispose of provided no litigation is pending or anticipated.

Contact Us

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