Northern Illinois University
Ethics and Compliance Office
Office of the President

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.01

Purpose

This annual report of departmental operations shows various statistics related to the general activity, mission and goals of this unit.  Routine distribution of report copies include transmittal to the President, all Vice Presidents, the University Archives, the Board of Regents, other police departments and chiefs, the Personnel Office, and other interested parties as requested.

Procedure

Retain one master copy in office permanently.  Maintain and dispose of in office on a discretionary basis the remaining copies.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.03

Purpose

These applications are required for individuals to possess or store firearms or weapons on campus.  Examples of firearm usage circumstances monitored by this application process are recreational hunting and target shooting and theatrical use for props in a play. The applications are effective for one (1) year, then expire.  The application process must be repeated for every valid year of weapons possession or storage.

Procedure

Retain in office for six (6) years following the expiration of the documented applications(s), then dispose of providing no litigation is pending or anticipated.

Arranged By:   Numerical by file number
Application Number:   89-23
Item Number:   380.04

Purpose

This record series, maintained on computer tape, consists of data relevant to parking violations.  The information is used as reference for accumulating monies from violators.   Contents of the series includes date, time, location, permit number, license number, state, license year, make of vehicle, offense number, address, amount assessed, and type of violation.  Original tapes of the series are located with the Campus Parking Services.  In addition, hard copy printouts are generated by the department by name and by ticket number as reference for one year.

Procedure

Retain hard copy of billing notices for eleven (11) days following entry of data on computer tape, then dispose of.  Retain computer tapes for three (3) years and erase providing all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.05

Purpose

This file series contains the Department's copies of miscellaneous budget and fiscal records consisting of purchase orders, requisitions, local fund check request forms, fund deposit and withdrawal records (mostly copied with the Bursar) computer printout auto usage summaries, purchase orders, requisitions, vouchers, internal ledgers, copies of printouts from accounting on expenditures, property control inventory reports, telecommunication bills, and computer printout auto usage reports.  Agency record copies of these forms and reports are held by the University's Accounting, Inventory Control, and Bursar's 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.

Arranged By:   Chronological by year
Application Number:   89-23
Item Number:   380.06

Purpose

This record series consists of documents associated with fiscal operations and planning of the subdivision.  The files are used as resourceful information concerning procurement of external commodities and formulation of adequate budgets.  Contents of the records include journal vouchers, requisitions, purchase orders, and invoices.  These documents are duplicates as the original records exist within the designated department of the Accounting 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.

Arranged By:   Chronological by year
Application Number:   89-23
Item Number:   380.07

Purpose

This record series consists of a Daily Cash Report and Accounting Close Report.  The Daily Cash Report is generated nightly by the cash register, and the Accounting Close Report is generated by the computer at day's end.  They are used in conjunction with each other for the purpose of balancing receipts daily.  The above documents are original, and no copies are distributed within the University.

Procedure

Retain in office for six (6) 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 anticipate.

Arranged By:   N/A
Application Number:   89-23
Item Number:   380.08

Purpose

This record series is used for documenting clerical file pulls, returns, and overall frequency of use.

Procedure

Retain in office for one (1) year or until expiration of administrative value, whichever is longer, then dispose of.

Arranged By:   Chronological by year, Alphabetical by topic
Application Number:   89-23
Item Number:   380.11

Purpose

This record series consists of documents which reflect data relevant to assessments for parking tickets.  Specifically, the memo serves as a deletion notice for violation fees incurred by faculty, staff, and visitors.  Contents of the document include name, social security number, date of infraction, ticket number, and amount of assessment.  The original record is retained with 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.

Arranged By:   Alphabetical by interviewed candidates
Application Number:   89-23
Item Number:   380.12

Purpose

These are evaluations of job candidates interviewed by the Department's Interview Committee comprised by a Captain, a Lieutenant, and a Sergeant.  This file includes only the evaluations of those candidates who were not employed for various reasons.  Interviewed candidates who ultimately commence employment have the interview evaluations within their personnel folders.

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.

Arranged By:   Alphabetical by name
Application Number:   89-23
Item Number:   380.13

Purpose

This record series consists of a document concerning acquisition of a gate entry card for designated parking.  The above form must be completed and is utilized as a prerequisite in obtaining permission to drive motor vehicles through specific entrances.  In addition, all vehicle owners are required to make down payment prior to receiving the entry cards from Campus Parking Services. The document contains name of owner, date, amount of deposit, and specific card number.  

Procedure

Retain in office for one (1) year, 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:   Central file number and Chronological
Application Number:   89-23
Item Number:   380.14

Purpose

This file series contains the Department's original and/or record copy documentation maintained from its handling of a range of incidents compromising or potentially affecting campus public safety.  Specific kinds of incidents documented by the files include investigations, arrests, citations, or police assistance in crimes, misdemeanors, accidents or hazards (fires, bodily injury, etc.), lockouts, security patrol observations, and vehicle tows and/or impounds. Specific forms or documents composing this file series include:  Annoyance/Complaint Fact Sheet(s), the primary case file document, showing the central file number, date, time, and remarks of what took place; copies of complaints; voluntary statements; supplementary reports concerning incidents; investigative reports; fingerprint cards; "rap" sheets; evidence receipts; various duplicate court proceedings documents as applicable; Monitor Authorization(s); Disposition Report(s); Request to Open Locked Vehicle; Vehicle Tow and Impound Record; and related correspondence.  (Selected data/Complaint Fact Sheet are computerized on hard disk for internal reference.).

Procedure

For all case files no involved with an arrest and/or prosecution, retain two (2) years in office then dispose of without microfilming providing all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.  For all case files documenting arrest and/or prosecution, retain two (2) years in office, then microfilm and dispose of original paper.  Retain Departmental use record series microforms in office for twenty (20) years, 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.  Transfer security microforms to the University Archives and/or campus Record Center for twenty (20) years retention, then dispose of.  Maintain and dispose of hard disk information upon discretion of the Department.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.15

Purpose

These assignment sheets serve as a supervisory monitoring document of investigative and police work activity.

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.

Arranged By:   Alphabetical and Chronological
Application Number:   89-23
Item Number:   380.16

Purpose

These are the standard slips filled out and used by personnel to apply for and authorize employee use of earned sick leave, personal leave, and vacation.

Procedure

Retain in office for one (1) year, 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:   Chronological
Application Number:   89-23
Item Number:   380.17

Purpose

These forms are filled out as lost items of personal property are received or discovered by the Department of Public Safety.  Such property is reported based on the Department's assessment of its value.  A brief form is filled out for property valued at $50.00 or under.  This form and the actual property have been purged at the end of the semester in which the item was discovered or received. Another short but more detailed report is made for property received or discovered and assessed for a value of over $50.00.  This report briefly describes the events and/or circumstances surrounding the discovery and/or receipt of the item(s) and the processes applied for determining the legitimate claimant and/or owner.  These forms for property valued over $50.00 have been purged with the auctioning of these items after a year of unresolved custody (per provision of Ill. Rev. Stat. 1989, ch.141, par. 143) or upon the proper disposition of the property via its return to the rightful owner and/or claimant.

Procedure

For property having an assessed value of $50.00 or under, retain in office until the legitimate claimant and/or owner is determined and the property is accordingly disposed of or until the end of the semester in which the item was discovered or received, whichever occurs first, 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.  For property with a value of over $50.00, retain in office until the legitimate claimant and/or owner is determined and the property is accordingly disposed of or until the lapse of six (6) months of unresolved custody and the subsequent auctioning of the property, whichever occurs first, 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:   Chronological
Application Number:   89-23
Item Number:   380.18

Purpose

This card file and computerized data base on disc/tape provides a summary of incident case file data. The recommended disposition for this file is therefore identical to the recommendation made for incident case files.

Procedure

For all cards referent to cases not involved with an arrest and/or prosecution, retain two (2) years in office 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.  For all cards referent to cases involving an arrest and/or prosecution, retain twenty (20) years in office, 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:   Chronological
Application Number:   89-23
Item Number:   380.19

Purpose

This record series consists of two (2) types of departmental monthly reports of activities.  One report is extracted from time sheets showing the general activity of the staff for the month which includes the quantity of tickets issued for a month, while the other report provides statistical breakdowns of criminal and non-criminal offenses. Copies of this report are transmitted to the administrative office of the Vice President for Business and Operations.  Moreover, monthly report information is summarized in the Department's annual reports, a copy of which is sent to the University Archives.

Procedure

Retain in office for ten (10) 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.

Arranged By:   Alphabetical
Application Number:   89-23
Item Number:   380.2

Purpose

These records have been maintained if an officer is active.  Upon an officer's separation from employment, the clothing and equipment assignment and return documentation has been placed in the respective personnel folder and maintained and disposed of as a personnel file item.

Procedure

Retain in office until separation of the assigned officer, then continue to maintain in the respective personnel folder for five (5) years, 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 by officer
Application Number:   89-23
Item Number:   380.21

Purpose

This record series consists of the test results of handgun proficiency training received by officers of the Department.

Procedure

Retain in office until termination of employment, then place in the corresponding Departmental personnel file for that file series recommended retention period of five (5) years after termination of employment.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.22

Purpose

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.

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.

Arranged By:   Alphabetical
Application Number:   89-23
Item Number:   380.27

Purpose

These are the Department's copies of personnel files covering all classes of employees working for the Department, which include security guards, investigators, and student workers.  File contents include: Employment Record showing career development data, starting date, birthdate, and leave date; officers' handgun proficiency training testing records; Hiring Authorization; performance evaluations; applications for employment; background investigation materials; Interview Committee Evaluations; and disciplinary history (if applicable).  Master personnel files are maintained by the University's Personnel Office administered under the direction of the Vice President for Finance and Planning.

Procedure

Retain in office for five (5) years after termination of employment and/or the termination of the last period of enrollment, 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:   Numerical and by subject
Application Number:   89-23
Item Number:   380.28

Purpose

These manuals contain the Department's copies of University-wide and Police Department procedures which are both in effect and superseded.

Procedure

Retain in office until superseded, then offer superseded procedure(s) to University Archives for accessioning.  If offer for accessioning is refused by University Archives staff, maintain and dispose of in office on a discretionary basis the superseded procedures.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.29

Purpose

This record series consists of radio logs (which were reformatted in 1987) completed daily detailing the particulars of the communication (i.e. name of person calling, time of the call, and the purpose of the call).  The logs are now computerized on hard disk and printed for internal reference. (SIU/Edwardsville-Police Department has scheduled their radio logs for a retention period of three (3) years per Application 85-89, item 12).

Procedure

Retain the original or initial radio logs in office for three (3) years, 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.  Retain the computer printout radio logs and call for service modules in office for one (1) year, 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.  Computer tape/disc record series formats are to be retained in office for three (3) years, then reuse and/or 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:   Chronological
Application Number:   89-23
Item Number:   380.3

Purpose

This record series consists of repair and servicing summary sheets provided by vendor repair services for the maintenance of the Department's radio.

Procedure

Retain in office until the corresponding radio is traded in, retired, or condemned, then dispose of providing all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipate.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.31

Purpose

This report completed for each shift lists personnel absences, car mileage, radio checkouts, time and attendance, assignment records, keys checked out by watchmen, etc.

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.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.32

Purpose

These are waivers signed by any individual wishing to ride in a squad car waiving much of the Department's liability in the event of damages occurring from such an incident.

Procedure

Retain in office for ten (10) 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.

Arranged By:   Chronological by year, Alphabetical by name
Application Number:   89-23
Item Number:   380.33

Purpose

The record series consists of documents which emphasize accumulated time for university employees. Files are utilized to record specific hours of employment and the appropriate amount of earned monies. Contents of the sheets reveal number of hours per position, name of employee, dates per time period, total number of hours per day, and hours of employee benefits.  The above documents are original.  No distribution of the record series occurs to other areas of the University.

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.

Arranged By:   Alphabetical and Chronological
Application Number:   89-23
Item Number:   380.34

Purpose

In addition to the time sheets, personnel production and activity sheets referred to by the agency as "Supervisor's Sheets" are frequently attached for showing personnel activity, production, and the amount of time used for work product(s).  Essential statistical information contained within this series is lifted for summary and presentation within the Department's Monthly Reports and Annual Reports. Annual reports have been routinely archived with the University Archives.  Also, central employee time and attendance documentation is maintained by the Payroll and/or Personnel Offices of the University.

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.

Arranged By:   Chronological
Application Number:   89-23
Item Number:   380.35

Purpose

These sheets are filled out to show the results of vehicle inspections for general condition, upkeep, etc.

Procedure

Retain in office for the period of possession of the respective vehicle or for two (2) years, whichever is longer, 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:   Chronological
Application Number:   89-23
Item Number:   380.36

Purpose

These reports are filled out by watchmen noting observances from a watch, such a broken window, open door, other structural damage, and missing items.

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.

Arranged By:   Alphabetical
Application Number:   89-23
Item Number:   380.37

Purpose

This is a card file and a data base computerized on disc/tape of traffic violation warnings issued.

Procedure

Retain in office for one (1) 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.

Arranged By:   Chronological, then Alphabetical by Provider
Application Number:   89-23
Item Number:   380.42

Purpose

This record series consists of agreements with third party transportation providers that provide bicycle and short-term car rentals to students and visitors to campus. The agreements allow these providers to operate on the NIU campus.

Procedure

Retain third party provider agreements for three (3) years after the termination date of the agreement, then destroy or delete from the system provided all audits have been completed, if necessary, and no litigation is pending or anticipated. Retain electronic records in compliance with 44 Ill. Admin. Code 4400.80.

Arranged By:   Alphabetical by Renter
Application Number:   89-23
Item Number:   380.43

Purpose

This record series consists of borrow-a-bike program fee schedules and rental forms submitted by students to borrow a bicycle from the University. The rental form includes information from renters including names, ID numbers, return status, phone numbers, email addresses, signatures and dates. The rental form also has a pre-rental condition form of the bike and bike related equipment. This program ended in April 2018 and is now carried out be a third-party transportation provider.

Procedure

Arranged By:   Numerical
Application Number:   89-23
Item Number:   380.38

Purpose

This record series consists of the parking records maintained by the Campus Parking Committee. These include but are not limited to parking permit applications that identify the applicant and their vehicle; parking permit placards, decals, or stickers; and copies of permit information maintained in a list of all valid parking permits maintained by the Campus Parking Committee. Permits are issued annually and expire at the beginning of the next academic year. Also, included are the receipt tickets issued to users of pay lots that are validated upon exit. This record supersedes Application 89-23 items 380.23, 380.24, and 380.26 to consolidate and clarify the records description.

Procedure

Retain for one (1) year after the date the parking permit expires, then destroy in a secure manner or delete from the system provided all audits have been completed, it necessary and no litigation is pending or anticipated.

Arranged By:   Numerical
Application Number:   89-23
Item Number:   380.39

Purpose

This record series consists of parking violation notices tickets issued to students, staff, and visitors who violate University parking policies. These tickets record the type of infraction and the appropriate fee or fine associated with the violation. Information on the ticket includes: the date, time, location of the infraction, ticket number, permit number (if applicable) and vehicle information including the year, make, and model; the name of the registered owner; and the amount of fine assessed. This item supersedes Application 89-23 item 380.25 to rewrite the description and update the retention language.

Procedure

Retain tickets or information for tickets that have been paid or voided for three (3) years after date ticket is either paid or voided, then dispose of or delete from the system provided all audits have been completed if necessary and no litigation is pending or anticipated. Retain electronic records in compliance with 44 Ill. Admin. Code 4400.80.

Arranged By:   Numerical
Application Number:   89-23
Item Number:   380.40

Purpose

The record series consists of the formal protest process to protest parking tickets. Contents include the parking ticket, date of infraction, time and place of violation, registration information including name and address of driver, and the final decision issued by the appeals committee.

This record supersedes Application 89-23 item 380.02 to consolidate and clarify the records description.

Procedure

Retain for two (2) years after date the parking violation is Deferred either cleared or paid, then destroy in a secure manner or 4/17/2019 delete from the system provided all audits have been Approved as Rewritten completed, if necessary and no litigation is pending or 6/19/2019 anticipated.

Arranged By:   Numerical
Application Number:   89-23
Item Number:   380.41

Purpose

This record series consists of the parking violations tickets that have been waived upon appeal or through administrative decision. Contents include the ticket and any other corroborating documents pertinent to the waiver.

Procedure

Arranged By: Chronological
Application Number: 89-23
Item Number:  390.01

Purpose

This record series consists of the Clery Act/Campus Security Act files and related supporting records generated by the University in accordance with the requirements and provisions of the Jeanne Clery Disclosure Campus Security Policy and Campus Crime Statistics Act, Violence Against Women Act (VAWA), the State of Illinois Campus Security Enhancement Act of 2008, including subsequent amendments to any of these Acts.  The University's designated Office of Clery Compliance (currently located under NIU's Department of Police and Public Safety) compiles and publishes an Annual Security Report (ASR) which provides the three most recent calendar years of crime statistics for criminal offenses, hate crimes, VAWA and arrests/referrals for disciplinary action for the University's Clery geography. Campus crime, arrest and referral statistics include those reported to the NILT Department of Police and Public Safety, designated campus security officials (as defined under the Clery Act) and local law enforcement agencies. The report also includes institutional policies on campus security policies concerning alcohol and drug use, crime prevention, the reporting of crimes, and other matters. A link to the Annual Fire Safety Report containing policy statements and fire statistics for the most recent three years for all on-campus student housing facilities for public inspection is also included in the ASR Contents of this record series also include the following related supporting records: copies of crime reports; daily crime logs; records for arrests and referrals for disciplinary action; timely warnings and emergency (immediate) notification reports; related correspondence (e.g.: campus security authorities, local police, ILS, Department of Education, etc.); copies of ASR availability notices to students/employees; copies of admissions and employment notifications to prospective students/employees; and any other related documentation.

Applicable Citations

Jeanne Clew Disclosure Q/'Campus Security Policy and Campus Crime Statistics Act (20 USC, 51092(f) and 34 C.F.R, 668, US. Department of Education, Student Assistance General Provisions), Violence Against Women Act (V AWA) (Public Laws 103-322 and 1 13-4, partially codified at 42 1).S.C, S 13701), the Stale of Illinois Campus Security Enhancement Act of 2008 (1 10 LCS 12), and the higher Education Opportunity (20 U,S CT 5 1001 e! seq.; Public Laws 39-329 and 1 1 5), including subsequent reenactments to any of these acts.

Procedure

Retain for (7) federal fiscal years after the date of the last activity on files and then destroy in a secure manner or delete from system provided all audits have been completed, if necessary, and no litigation is pending or anticipated.