Northern Illinois University
Ethics and Compliance Office
Office of the President

Arranged By: Alphabetically by complainant's last name
Application Number: 20-12
Item Number: 100.02

Purpose:

This record series consists of files maintained by the Ethics and Compliance Office (ECO), or its former title of Affirmative Action and Equity Compliance, relative to inquiries, reports or complaints submitted by students, faculty, staff, and third-parties regarding violations of university conduct (e.g., discrimination, harassment, retaliation, and other workplace or academic concerns) as defined by the university's Nondiscrimination, Harassment and Retaliation Policy and Procedures. The ECO also responds to reports and investigates allegations and complaints of sexual misconduct and/or discrimination on the basis of sex and/or gender, pursuant to the provisions of Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), Preventing Sexual Violence in Higher Education Act (1 10 ILCS 155/10), and in accordance with the university's Sexual Misconduct Policy and Complaint Procedures.

Contents of this records series may include, but are not limited to: policy inquiries, reports/complaints/allegations of conduct violations; reports/complaints/allegations of sexual misconduct; requests for confidentiality; supportive measures; actions taken in response to the report/complaint; evidence; assessments; research; investigation reports; hearings (if applicable); final findings and basis for conclusion; sanctions; appeals; and any other related supporting documents and correspondence.

Procedure:

Retain in office for seven (7) years after date of resolution of the complaint or report, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate

Arranged By: Chronological
Application Number: 20-12
Item Number: 100.03

Purpose:

The record series consists of routine inquiries submitted to the Ethics and Compliance Office (ECO) by university employees, students, and members of the public regarding the State Officials and Employees Ethics Act (5 ILCS 430), Illinois Governmental Ethics Act (5 ILCS 420) and perceived ethics issues (e.g., prohibited political activity, gift ban, revolving door, conflict of interest, etc.).

Contents of this record series may include, but are not limited to: policy inquiries; research; memorandums; correspondence to reporting party or subject of the inquiry; correspondence with Office of General Counsel; evidence gathered; assessments; and other supporting documentation.

Procedure:

Retain for three (3) years after the date of inquiry closure, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate.

Arranged By: Chronological
Application Number: 20-12
Item Number: 100.04

Purpose:

This record series consists of confidential ethics investigation case files maintained by the Ethics and Compliance Office (ECO) in response to alleged violations of the State Officials and Employees Ethics Act (5 ILCS 430), Illinois Governmental Ethics Act (5 ILCS 420), Northern Illinois University (NIU) policies, and/or other related laws (e.g., fraud, waste, abuse, mismanagement, revolving door, gift ban, prohibited political activity, etc.). Complaints of ethics violations by faculty, staff, or outside persons/vendors may be submitted directly to the ECO, or to the Office of the Executive Inspector General (OEIG) which are then referred to the ECO for review or joint investigation. Staff investigators collect and examine evidence related to the allegations through document retrieval, interviews, and if necessary, referral to the OEIG or other appropriate officials, such as law enforcement, for further investigation.

Contents of this records series may include, but are not limited to: reports/complaints/allegations of ethics violations; referrals to and from ECO; document/record requests; evidence; assessments; investigation reports; final findings and basis of decision; possible sanctions of alleged misconduct; and any other related supporting documents and correspondence.

Procedure:

Retain for seven (7) years after the completion of the investigation or referral to appropriate agency/official, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate.

Arranged By: Chronological by date submitted to Office of the Secretary of State
Application Number: 20-12
Item Number: 100.05

Purpose:

This record series consists of the agency record copies of Statements of Economic Interest files which are maintained by the Ethics and Compliance Office (ECO) and required to be completed and filed annually by May 1 ^st with the Office of the Secretary of State pursuant to the provisions of the Illinois Governmental Ethics Act (5 ILCS 420/4A) and the State Officials and Employees Ethics Act [5 ILCS 430/20-23(2)]. Contents include copies of the initial/final lists, completed forms, and related correspondence.

Note: Original Statements of Economic Interest are maintained by the Office of the Secretary of State's Index Department for a period of fifty (50) years per item 1 of approved State Records Application No. 95-84.

Procedure:

Retain for three (3) years after the date of submission to the Office of the Secretary of State, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate.

Arranged By: Chronological
Item Number: 100.06
Application Number: 20-12

Purpose:

This record series consists of year-end compliance reports generated by the Ethics and Compliance Office (ECO) and submitted to the Executive Ethics Commission (ECC) and Office of Executive Inspector General (OEIG) to document the status of required training for university employees specific to ethics, sexual harassment, discrimination and harassment pursuant to the provisions of the State Officials and Employees Ethics Act [5 ILCS 430/5-10 and 10.5]. The training content and materials are approved by the ECC and the OEIG prior to employee participation and the year-end report provides a summary of the manner in which training was provided to employees, anticipated changes to the next year's materials, a list of employees who failed to complete the training, and any action taken in response to employees' failure to comply with the training requirement.

Contents of this record series may include, but are not limited to: training approvals, materials, and contents; employee proof of completion; and any other related supporting documents and correspondence.

Procedure:

Retain for three (3) years after the date of submission to the Executive Ethics Commission and Office of Executive Inspector General, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate.

Arranged By: Chronological
Application Number: 20-12
Item Number: 100.07

Purpose:

This record series consists of inquiries and concerns/complaints, if applicable, submitted to the Information Technology Accessibility Officer (ITAO) by university employees, students, and members of the public regarding electronic information technology (EIT) accessibility for persons with disabilities, impairments, and/or special needs pursuant to the provisions of the Information Technology Accessibility Act (30 ILCS 587), Section 508 of the Rehabilitation Act of 1973 (29 USC § 794d), and Northern Illinois University's Accessible Technology Policy.

Contents of this record series may include, but are not limited to: research; meeting notes; correspondence with university departments and external vendors; memorandums; Voluntary Product Accessibility Templates (VPATs); and other supporting documentation.

Procedure:

Retain in office for five (5) years after date of inquiry closure, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate.

Arranged By: Alphabetical by vendor name; Chronological by date received
Application Number: 20-12
Item Number: 100.08

Purpose:

This record series consists of documents and correspondence (paper or electronic) generated and received by the Information Technology Accessibility Officer (ITAO) through the review of electronic information technology (ElT) purchase requisitions to ensure accessibility pursuant to the provisions of the Information Technology Accessibility Act [30 ILCS 587/5(b)]. The ITAO makes recommendations regarding proposed EIT purchases by utilizing Voluntary Product Accessibility Templates (VPATs) to document a product's conformance with accessibility standards and guidelines, supports the creation of new technology, and ensures vendors comply with state and university guidelines.

Contents of this record series may include, but are not limited to: purchase requests; Voluntary Product Accessibility Templates (VPATs); certifications; timeline(s) for compliance from vendors; research; requisition quotes; and any other related supporting documents and correspondence.

Procedure:

Retain for three (3) years after the date of requisition, then destroy or delete/over-write in a secure manner pursuant to the provisions of 44 Ill. Adm. Code 4400.40, provided all audits have been completed, if necessary; no litigation is pending or anticipated; and upon receipt of an approved State of Illinois Records Disposal Certificate.

Arranged By: Alphabetical by name of policy
Application Number: 20-12
Item Number: 100.09

Purpose:

This record series consists of files generated and received by the librarian of the University Policy Library, which is the centralized digital repository for all university policies and procedures developed and approved by the Board of Trustees, the President, the University Council, associated offices, and the policy librarian.

Contents of this records series include, but are not limited to: current and superseded policies; research; website development and revision information; and any other related supporting documents and correspondence.

Procedure:

Retain in office for two (2) years after the policy is superseded, whichever is later, or until all administrative value has expired, then transfer one copy to the University Archives for permanent retention.

Electronic records must be retained in compliance with 44 111. Adm. Code 4400.50, 4400.70 and 4400.80.