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Ethics and Compliance Office
Office of the President

  1. Ethics and Compliance Office
  2. Records Management
  3. Records Retention Schedules
  4. College of Liberal Arts and Sciences-Department of Psychology

College of Liberal Arts and Sciences-Department of Psychology

Annual Faculty Activity Reports

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.01

Purpose

Since implementation of a P.C. in 1983, these reports are produced in computer printout format.  The reports summarize all relevant professional activity and academic career accomplishments of the faculty, including work on research projects and papers presented. Originals of these are maintained within the Office of the Dean.  These departmental copies are not subject to reference in conducting program or accreditation reviews, although they may be used in making tenure and promotional decisions.

Procedure

Retain five (5) years in office, then dispose of providing no litigation is pending or anticipated.

Extra Credit Records

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.02

Purpose

This report received from the University's Office of Testing Services details extra credit earned by students through CLEP, proficiency testing, experimental or clinical experiences.  The credits earned are documented within the student's academic permanent record as well as the departmental student files.

Procedure

Retain in office for one (1) year after receipt of the report(s), then dispose of.

Faculty Search Files

Arranged By:   Chronological and Alphabetical
Application Number:   89-27
Item Number:   560.03

Purpose

The records contain applicant vitae, letters of recommendation, Search committee deliberation reports, job advertisements, and affirmative action guidelines.

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.

Undergraduate Withdrawal Lists

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.04

Purpose

The records contain computer printouts listing students who have withdrawn from the university and/or who have been dismissed for academic reasons.

Procedure

Retain in the office for four (4) years, then dispose of provided all administrative value has expired.

Major Work Lists

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.05

Purpose

The records contain computer printouts, generated by Registration and Records, listing all students currently enrolled as undergraduate psychology majors.  These listings are then used to track the progress of students in the department over a four-year period.

Procedure

Retain in the office for five (5) years, then dispose of provided all administrative value has expired.

Graduation Lists

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.08

Purpose

The records contain computer printouts from Registration and Records listing graduating students along with personal data (i.e., social security numbers)

Procedure

Retain in office for three (3) years, then dispose of provided all administrative value has expired.

Student Evaluations of Professors

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   560.09

Purpose

This record series consists of student evaluations of faculty performance within the Psychology Department.  The file documents the rank of instructors and may be used to improve faculty effectiveness. Data of the record series includes the name of instructor and a numerical ranking system of 1 through 5.

Procedure

Retain in office for five (5) years or until expiration of administrative value, whichever is longer, then dispose of.

Student Files (Undergraduate and Graduate)

Arranged By:   Chronological by year, Alphabetical by name
Application Number:   89-27
Item Number:   560.1

Purpose

The record series consists of graduate files (e.g., grade reports, summary card, progress reports on dissertation and oral defense).  The undergraduate files contain the declaration of major and minor, evaluations, and grades.  The original files are maintained in the Graduate School or Office of Registration and Records.

Procedure

Retain in office for five (5) years following last date of attendance or graduation, 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.

Telephone Logbook

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   560.11

Purpose

The record series consists of the name of caller, phone number, time and length of call.

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.

Undergraduate Minor Credential Files

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   560.12

Purpose

This record series consists of a computer printout which shows an undergraduate's declaration of a college minor.  The file includes a statement of college minor and name of student.  The original file is maintained by the Registration and Records Office.

Procedure

Retain in office for five (5) years following last date of attendance or graduation, 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.

Vitae and Resumes

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   560.13

Purpose

This record series consists of documents which show academic backgrounds of instructional staff for the Psychology Department.  The vitae are referenced for annual evaluations. The file includes the name of staff, educational achievements, employment histories, research and publication, and recommendations.  The originals are maintained by the College of Liberal Arts and Sciences.

Procedure

This record series consists of documents which show academic backgrounds of instructional staff for the Psychology Department.  The vitae are referenced for annual evaluations. The file includes the name of staff, educational achievements, employment histories, research and publication, and recommendations.  The originals are maintained by the College of Liberal Arts and Sciences.

Curriculum Proposal Files

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.14

Purpose

The files contain departmental curriculum proposals and all necessary changes/revisions made to them.

Procedure

Retain in office for ten (10) years or until expiration of administrative value, whichever is longer, then dispose of.

Incomplete Graduate School Admission Applications

Arranged By:   Chronological and Alphabetical
Application Number:   89-27
Item Number:   560.16

Purpose

These are applications to Graduate School that are not completed.  Completed applications for Graduate School Admission that are later withdrawn or denied are sent to the Graduate School.

Procedure

Retain in office for one (1) year after the date of last application entry(s), then dispose of.

Departmental Program Reviews

Arranged By:   Chronological
Application Number:   89-27
Item Number:   560.17

Purpose

The reviews are completed in five (5) year cycles under the auspices of the Provost for compilation or incorporation in the Board of Regents reports, IBHE reports, HEGIS reports, etc.

Procedure

Retain in office for ten (10) years, then offer to University Archives for transfer and accessioning.  If the offer for accessioning is refused by the University Archives staff, then dispose of.

Budget and Fiscal Records

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   560.18

Purpose

Contents in the record series includes budget reports, ledger sheets, general accounting service reports, purchase orders, telephone bills, travel vouchers, and cost-inventory data.  The originals are maintained by the Accounting Department.

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.

Completed Dissertations and Thesis

Arranged By:   Chronological by year, Alphabetical by topic
Application Number:   89-27
Item Number:   560.2

Purpose

This record series consists of completed papers from post graduate students within the Psychology Department.  The documents are used as necessary criteria for obtaining a graduate degree. Data of the record series include statement of purpose, date, name of student, and documentation.  The originals are maintained in the Graduate School.  Copies are also maintained by the University Archives and Library.

Procedure

Retain in office for five (5) years following graduation or date of last attendance, 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.

Institutional Review of Faculty Research Involving the Use of Human Subjects

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   560.21

Purpose

This record series consists of documents which support contemplated experimentation on human subjects within the department (code of Federal Regulations, 46.116).  The form contains explanation of the research to the Institutional Research Board for approval or rejection. Data of the record series include name of faculty member, title of project, time of project, appropriate signatures, background data of subject, departmental determination, and date.  The original is maintained by the Institutional Research Board.

Procedure

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

Key Index

Arranged By:   Chronological by year, Numerical by file number
Application Number:   89-27
Item Number:   560.22

Purpose

This record series, maintained on computer disc, consists of a listing for keys to the Department of Psychology.  The form is used as an office inventory of key holders for room usage.

Procedure

Retain in office for ten (10) years or until expiration of administrative value, whichever is longer, then dispose of.

Patient/Client Files

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   560.23

Purpose

This record series consists of confidential clinical files which document out-patient treatment of individuals by the Department of Psychology (Ill. Rev. Stat. 1989, ch.91½, par. 801 et seq. and ch.111½, par. 5401 et seq.).  The documents are a source for therapists in client backgrounds and serve as a basis for educational training. Contents in the record series include a face sheet, name of patient, therapy session notes, summary notes, and contact sheets.

Procedure

Retain in office for ten (10) years after the last record of health service usage or four (4) years after the patient reaches the age of majority, if the patient is a minor, whichever period is longer, then dispose of provided no litigation is pending or anticipated.

Civil Service and Student Employee Personnel Files

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   560.24

Purpose

Contents in the record series include job descriptions, appraisals and evaluations, and wage data.  The originals are maintained by the Personnel Office or the Department of Financial Aid.

Procedure

Retain in office for five (5) 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.

Personnel Files - Faculty

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   560.25

Purpose

This record series consists of individual files which document the professional backgrounds and achievements of departmental faculty.  The documents are used as verification of tenure and instructional rank. Contents in the record series include appointment forms, credentials, letters of recommendation, and status (e.g., professor, associate professor, assistant professor).  The originals are maintained by the Provost's Office.

Procedure

Retain in office for five (5) 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.

Contact Us

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