College of Education-Leadership and Educational Policies Studies

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Grant Files

Arranged By:   Alphabetical by faculty member
Application Number:   89-27
Item Number:   230.01

Purpose

The files contain departmental copies of faculty member grants including proposals (awarded/unawarded) and copies of award letters.

Procedure

Retain in office for five (5) years following the expiration period of the corresponding grant(s), 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.

Degrees Awarded and Comprehensive Exam Files

Arranged By:   Chronological
Application Number:   89-27
Item Number:   230.02

Purpose

The records contain computer printout listings of all degrees awarded from the graduate school and listings of comprehensive exams taken from the departments and sent to the graduate school (i.e., for doctoral and master's degree candidates).

Procedure

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

Administrative Correspondence Files

Arranged By:   Chronological
Application Number:   89-27
Item Number:   230.03

Purpose

This record series consists of Administrative Correspondence Files (Agency Record Copies).

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.

Committee Files

Arranged By:   Alphabetical by committee/ Chronological
Application Number:   89-27
Item Number:   230.04

Purpose

The files contain original minutes of various committees including:  Council of Faculty Chairs; Personnel Committee; Testing Committee; Recruitment Committee; Committee on Awards and Presentations; Admissions, Retention and Professional Standings Committee; Curriculum Committee; and Higher Education Committee.  Duplicate copies of minutes retained by the department include:  Council on Instruction, University Council, and Graduate Council.

Procedure

Retain original minutes in office for ten (10) years, then transfer to the University Archives for permanent retention.  Retain duplicate minutes in office for three (3) years, then dispose of provided all administrative value has expired.

Election Committee Reports

Arranged By:   Chronological
Application Number:   89-27
Item Number:   230.05

Purpose

The files contain all information retained on the election of department and committee chairpersons.

Procedure

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

Course Scheduling and Curriculum Development Files

Arranged By:   Chronological
Application Number:   89-27
Item Number:   230.06

Purpose

The files include enrollment reports, class lists, course offerings, copies of course syllabi, internal schedule books, and final copies of catalogs.

Procedure

Retain in office for four (4) years, then with the assistance of the University Archives staff, review the file and transfer any materials possessing archival value to the University Archives for permanent retention.

Instructor and Course Evaluation Reports

Arranged By:   Alphabetical by instructor
Application Number:   89-27
Item Number:   230.07

Purpose

The files contain computer printouts, generated by Testing Services, indicating the results of data collected from students who have completed evaluations on courses taken and instructors' performances.  This information issued as a basis for making tenure and promotion decisions within the department.  Duplicate copies are also retained with the individual instructor and the Personnel Committee.

Procedure

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

Accreditation Report

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.08

Purpose

This record series consists of a document which shows state recognition from the Board of Regents and Illinois State Board of Education.  The document is used as a prerequisite to proper accreditation and funding by the State of Illinois. Contents in the record series include faculty mission statement, accreditation report, program description, curriculum goals, and a standard program (e.g., elementary certificate, secondary certificate, standard special certificate, and graduate program certificate).  The Board of Regents and Illinois State Board of Education maintains the original.

Procedure

Retain in office for five (5) years following being superseded by a new report, then prior to disposal, offer to the University Archives.

Budget and Fiscal Records

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.09

Purpose

This record series consists of financial documents which show the accounting operations of the department.  The files are used for budgetary planning and office procurement. Contents in the record series include purchase orders, supply orders, travel vouchers, travel requests, accounting reports, and budget requests.  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.

Change of Grade Request

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.1

Purpose

This record series consists of a document which provides for alterations of grades at the student suggestion.  The form functions as certification for such changes and becomes part of the individual's record. Contents in the record series include name of student, social security number, course name, change of grade, and institution name.  The originals are maintained by the Registration and Records Office or Graduate School.

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.Top of Form

Colloquium Files

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.11

Purpose

This record series consists of documents used for obtaining speakers for various seminars and conferences.  The files serve to provide data related to lecturer's background and subject of address. Contents in the record series include an application with supporting information consisting of the name of the speaker, ethnic origin and sex of speaker; sponsoring faculty member; cost; and topic of seminar.  In addition, the Graduate School receives copies of the above record series.

Procedure

Retain in office for two (2) years or until administrative use is complete, whichever is longer, then dispose of.

Faculty Job Search Files

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.12

Purpose

This record series consists of files documenting the employment procedures for obtaining new instructors within the department.  The documents are used to facilitate formal application and to provide data for future reference. Contents in the record series include resumes, copies of advertisements, comments of search committees, and affirmative action reports.

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.

Index Card File - Students

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   230.13

Purpose

This record series consists of a listing of students enrolled within Leadership and Educational Policy Studies.  The roster functions as office reference and provides data for future inquiry. Entries in the record series include name of student; address; social security number; date of graduation; program area; faculty advisor; advisory committee reference; and dissertation committee reference.

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.

Oral Defense of Dissertation Files

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.14

Purpose

This record series consists of documents relevant to students pursuing doctoral degrees within the department.  The papers serve as an educational defense for dissertations.  In addition, the documents function as curricular prerequisite for post graduate programs. Data in the record series include a dissertation request, approval of initial application, and pass/fail score.  The originals are maintained by the Graduate School.

Procedure

Retain in office for five (5) years following graduation or last day of 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.

Civil Service Personnel Files

Arranged By:   Chronological by year, Alphabetical by topic
Application Number:   89-27
Item Number:   230.15

Purpose

The documents summarize earnings records and provide data for office reference. Contents in the record series include beginning and ending dates of employment, salary sheets, civil service classification, and affirmative action reports.  The originals are maintained by the Personnel 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.

Faculty Personnel Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   230.16

Purpose

The records are used to evaluate staff performance and to document earnings. Contents in the record series include appointment papers, salary sheets, merit ratings, evaluations, supporting correspondence, faculty service reports, affirmative action, and faculty status.  The Provost's Office maintains the originals.

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.

Graduate Assistantship Personnel Files

Arranged By:   Chronological by year, Alphabetical by name
Application Number:   89-27
Item Number:   230.17

Purpose

This record series consists of files documenting students who have or are participating in assistantship programs of the department.  The documents function as a data source for salary projections and curricular development. Data in the record series include application forms, letters of acceptance, supporting correspondence, name of student, social security number, appointment dates, and salary sheets.  The originals are maintained by the Graduate School.

Procedure

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

Student Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   230.18

Purpose

The files cover both graduate and undergraduate students and serve to document student achievements within the curriculum. Contents in the record series include application(s), credentials, graduate record exam results, transfer documents, related correspondence, and comprehensive exam results.  The originals are maintained by the Graduate School or Registration and Records.

Procedure

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

Student Grade Appeal Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   230.19

Purpose

This record series consists of case files which document students’ recourse provided and followed for protesting a grade received.  The documents show the procedure of appeal and record decisions of the cases. Contents in the record series include correspondence, copies of procedures, decisions, and dean's signature.  The duplicates are maintained by the Office of the Dean of the Graduate School.

Procedure

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

Student Grade Rolls

Arranged By:   Chronological by year, Numerical by file number
Application Number:   89-27
Item Number:   230.2

Purpose

This record series consists of documents which contain a listing of student grades for each course.  The form is used not only on initial index listing, but also as a confirming roster of student achievement. Entries in the record series include course name, instructor, student, social security number, and grade.  The originals are maintained by the Office of Registration and Records.

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.

Pre-Admission Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   230.21

Purpose

This record series consists of documents which are used to process a student's entry into the departmental curriculum.  The records are used to establish and verify the meeting of prerequisites for enrollment of individuals into any of the five basic programs:  adult education, foundations, institutional technology, educational administration, and social education. Contents in the record series include an application and supporting documents of student credentials.  The originals are maintained by the Graduate School Office.

Procedure

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

Tuition Waiver Request

Arranged By:   Chronological by year
Application Number:   89-27
Item Number:   230.22

Purpose

This record series consists of a document which provides for students' wavier of university tuition cost under established criteria.  The form is used as office reference and provides data for fiscal and/or budgetary planning. Entries of the record include student's name, social security number, faculty members sign-off, semester requested, and number of hours requested.  Originals are maintained by the Graduate School or the Bursar's Office.

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.

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