Graduate School-Office of the Dean

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General Administrative Correspondence Files

Arranged By:   Chronological/by subject
Application Number:   89-27
Item Number:   360.01

Purpose

Included in this file are internal memoranda, newsletters, policy and procedure, reports, etc.

Procedure

Retain in office for three (3) years, then dispose of provided no litigation is pending or anticipated.

Faculty Files

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   360.02

Purpose

This record series consists of information on faculty approved to teach graduate courses.  Included in this file are vitae, newspaper clippings, press releases, letters, and forms showing current teaching status.

Procedure

Retain in office for five (5) years following separation from employment or other affiliation with the university, then dispose of provided no litigation is pending or anticipated.

Faculty Search Files

Arranged By:   Chronological by search
Application Number:   89-27
Item Number:   360.03

Purpose

This record series consists of applicant files resulting from faculty searches within the Graduate School.  Included are job descriptions, affirmative action forms, letters of response, copies of advertisements for the vacancy, applications and resumes from unsuccessful applicants, and any related correspondence.

Procedure

Retain in office for five (5) years following termination of the position vacancy, 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.

Fiscal Administration

Arranged By:   Chronological
Application Number:   89-27
Item Number:   360.04

Purpose

This record series consists of vouchers, purchase requisitions, purchase orders, invoices, billings, GAS reports, and monthly/annual expenditure reports.  Originals or record copies of these files are maintained by the Accounting Office and Purchasing 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.

Graduate Council Files

Arranged By:   Chronological
Application Number:   89-27
Item Number:   360.05

Purpose

This record series consists of minutes from meetings of the Graduate Council and its various subcommittees along with working papers and correspondence related to the Council's formulation of Graduate School policy.

Procedure

Retain in office for three (3) years, then with the assistance of the University Archives staff, review files and transfer any materials possessing archival/research value (minutes of meetings, policy formulation correspondence, etc.) to the University Archives for permanent retention.  Dispose of balance of materials after completion of the foregoing review(s) providing no litigation is pending or anticipated.

Personnel Files

Arranged By:   Alphabetical
Application Number:   89-27
Item Number:   360.06

Purpose

Included in this file are vitae, hiring papers, acceptance papers, pay raises, benefits, commendations/ reprimands, etc.

Procedure

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

Summer Fund Research Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   360.07

Purpose

This record series consists of resumes, proposals, and correspondence (notifications of award, etc.), and final reports of faculty members who apply for salaried or non-salaried University sponsored summer research projects through the Graduate School.  Documentation of all such awards is contained within the faculty members' personnel file maintained by the Provost's Office.

Procedure

Retain in office for five (5) years after termination of award, 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 Files

Arranged By:   Alphabetical by student
Application Number:   89-27
Item Number:   360.08

Purpose

These are requests for institutional tuition waivers, for students to receive a waiver for a certain amount of their tuition costs.  These files include name, social security number, and whether waiver was granted or denied.

Procedure

Retain in office for five (5) years after termination of the waiver, 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 Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   360.09

Purpose

These are files of requests by departments and other cost centers to appoint students to graduate assistantships, of requests to modify or terminate such appointments, and of Graduate School action on these requests.

Procedure

Retain in office permanently.

Research Support Files

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   360.1

Purpose

These are files of requests for financial support of research activities of faculty members and graduate students by the Graduate School, including originals of requests, copies of correspondence, and copies of travel vouchers and purchase order requests.

Procedure

Retain in office for five (5) years after termination of employment of the respective faculty member(s), then dispose of provided no litigation is pending or anticipated.

Student Records

Arranged By:   Alphabetical by name
Application Number:   89-27
Item Number:   360.11

Purpose

This record series consists of files for applicants and matriculated students at the graduate level (i.e., graduate students and students-at-large), including transcripts from other institutions, standardized-test scores, letters of recommendations, and assorted documentation pertaining to application, admission, matriculation, graduation, academic progress and standing, and related correspondence and other materials.

Procedure

For matriculated students, retain originals for five (5) years after the term of last enrollment, provided no litigation is pending or anticipated; then microfilm all academic records, with microfilms retained in the office permanently.  For non-matriculated students:  retain originals of degree transcripts and standardized-test scores for ten (10) years after receipt, then dispose of provided no litigation is pending or anticipated; destroy balance of files after one (1) year from the end of the term for which application was made providing no litigation is pending or anticipated.

Contact Us

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