Northern Illinois University
Ethics and Compliance Office
Office of the President

Arranged By:   Alphabetical
Application Number:   89-23
Item Number:   230.02

Purpose:

This record series consists of the annuitant files maintained by the Office of Insurance/Health, Life, and Retirement.  The files contain:  duplicate copy of retirement applications and related paperwork, copy of the letter to the retiree (e.g. explanation of benefits), and letters of dependents of deceased employees (e.g. explanation of life insurance policy).  Original records are maintained with the SURS headquarters in Champaign.

Procedure:

Retain in office until superseded and/or termination of coverage, then dispose of providing all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Arranged By:   Alphabetical
Application Number:   89-23
Item Number:   230.03

Purpose:

This record series consists of the COBRA extension files maintained by the Office of Insurance/Health, Life, and Retirement.  COBRA (Consolidated Omnibus Budget Reconciliation Act) is a federally funded program that provides extension of insurance coverage for ex-employees of the University.  The records provide similar data found in CMS current health enrollments including beneficiary designations, health certificates, and dependent affidavits.  Original records are maintained with the Department of Central Management Services.

Procedure:

Retain in office for six (6) years following termination of coverage, 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.

Arranged By:   Alphabetical
Application Number:   89-23
Item Number:   230.12

Purpose:

This record series consists of the SURS termination files maintained by the Office of Insurance/Health, Life, and Retirement.  The files contain notifications sent to the State University Retirement System of University employee terminations and a copy of the employee's refund application.  Original records are maintained with the SURS headquarters in Champaign.

Procedure:

Retain in office for five (5) years after termination of coverage, 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.

Arranged by: Alphabetical by employee

Application Number: 23-25

Item Number: 15

Purpose:

This record series consists of leave of absence requests submitted by employees. Contents of this record series may include, but are not limited to: leaves of absence applications, supporting medical documentation, copies of applications submitted to the State University Retirement System (SURS) and Prudential (or any future supplemental disability vendor) for disability benefits, any other supporting documentation, and related correspondence.

Procedure:

Retain for five years after separation from employment, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Arranged by: Alphabetical by claimant

Application Number: 23-25

Item Number: 16

Purpose:

This record series consists of files and documentation relevant to employees seeking financial support due to work related injury or illness pursuant to the provisions of the Illinois Workers' Compensation Act (820 ILCS 305) and Workers' Occupational Diseases Act (820 ILCS 310). Employees/workers must complete and submit a Workers' Compensation Packet.

Contents of the record series may include, but are not limited to: copies of Illinois Form 45: Employer's First Report of Injury; employee's/worker's notice of injury; authorization to use or disclose/release information; witness reports; supervisor's report of injury or illness; job descriptions and Americans with Disabilities Act of 1990 (ADA) (42 U.S.C. 12101 et. seq.) Job Requirements Questionnaires; initial workers' compensation medical report; summary of disability report; wage statement; medical notes; medical bills; medical leave certification/return to work certification/leave of absence request; and related correspondence.

Note: Central Management Services (CMS) retains official "Workers' Compensation Case Files" for ten (10) years from date of last payment.

Procedure:

Retain for 10years following closure of case, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Arranged by: Alphabetical by employee name

Application Number: 23-25

Item Number: 17

Purpose:

This record series consists of files documenting the administration of health insurance to employees by Northern Illinois University (NIU) and the Illinois Department of Central Management Services (CMS). Contents of this record series may include, but are not limited to: enrollment, benefits election, change, and termination forms; confirmation statements; premium history; health certificates and claims; dependent affidavits; proof of insurability; deduction authorizations/revocations; deduction reports; requests for refunds on overpayments of insurance premiums and reimbursements of premium underpayment; supporting documentation; and related correspondence.

Note: In 2016, the administration of employee insurance transferred from NIU to CMS. CMS currently maintains original employee insurance files.

Procedure:

Retain original insurance files created before September 1, 2016, for ten years after the date of separation from employment, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Retain agency record copy insurance files created after August 31, 2016, for five years after the date of separation from employment, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Arranged by: Alphabetical by employee name

Application Number: 23-25

Item Number: 18

Purpose:

This record series consists of agency record copies of reports and check vouchers for payments submitted bi-monthly to the State of Illinois Department of Central Management Services (CMS) by Northern Illinois University (NIU). These funds come from employee insurance and benefit paycheck deductions.

Contents of this series may include, but are not limited to: grant and trust reimbursement detail reports, flexible spending detail reports, fund share summary reports, long-term disability payment reports, payroll deduction premium transmittal summaries, deduction registers, voluntary benefits deduction reports, tape creation reports, check vouchers for each check that is submitted to CMS, any supporting documentation, and related correspondence.

Procedure:

Retain in office for two years after date of generation, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Arranged by: Chronological

Application Number: 23-25

Item Number: 19

Purpose:

This record series consists of requests for tuition and fee waivers from individuals meeting university and Illinois Board of Higher Education (IBHE) requirements in accordance with Tuition and Fee Waiver Guidelines (23 Ill. Adm. Code Part 1075). Contents of this record series may include, but are not limited to: waivers containing personal information, proof of eligibility (e.g., public university faculty, staff, employees, and their children or survivors; students with demonstrated need or recognized for merit, etc.), any supporting documentation and related correspondence.

Procedure:

Retain university staff Tuition and Fee Waivers for five years following termination of employment, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Retain non-university staff Tuition and Fee Waivers for eight years after application date, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.

Arranged by: Alphabetical by employee name

Application Number: 23-25

Item Number: 20

Purpose:

This record series consists of files related to employee enrollment and use of supplemental retirement plans administered by Northern Illinois University (NIU). Contents of this records may include, but are not limited to: tax deferred annuities applications, payroll deduction change forms, and termination of payroll deduction forms; supporting copies of external supplemental retirement plan enrollment (i.e., State University Retirement System, State of Illinois, etc.); any other supporting documentation; and related correspondence.

Procedure:

Retain for five years after final distribution or closure of the account, whichever is applicable, then destroy or delete/overwrite in accordance with the requirements of the State Records Act and administrative rules.