Northern Illinois University
Ethics and Compliance Office
Office of the President

Arranged By: Chronological by year, Numerical by file number
Application Number: 89-25
Item Number: 170.01

Purpose:

Contents in the record series include budget requests, bills, invoices and vouchers.  The original documents are maintained and scheduled for disposition by 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: Alphabetical by client's name
Application Number: 89-25
Item Number: 170.04

Purpose:

This record series consists of individual files for each client of WNIU-FM.  Included are Requests for On-Air Announcements, original yearly contracts and related correspondence.

Procedure:

Retain in office for six (6) years, following expiration of the respective contracts, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, no litigation is pending or anticipated, and all contracts are completed and/or expired.

Arranged By: Chronological by year, Alphabetical by topic
Application Number: 89-25
Item Number: 170.05

Purpose:

This record series consists of audio tapes of programming.  The tapes, which are not on hard copy script, are utilized to air broadcasts and serve as needed reference for future presentations. Contents in the record series comprise music scores, fund raising events, dramatic presentations and historic first programs.  The tapes are original to the radio station, WNIU-FM.  On occasion, the record series may also be distributed to other radio stations.

Procedure:

Retain in office for ten (10) years, then offer to the University Archives for permanent retention and dispose of any hard copy or tapes that were thus rejected by the University Archives staff.

Arranged By: Chronological by year
Application Number: 89-25
Item Number: 170.06

Purpose:

This record series consists of documents which stress actual construction of building material and the maintenance of operating equipment.  The files function as resource data for possible repair and legal inquiry. Contents in the record series include prints of equipment and building, specifications, related correspondence and application for construction permits.  The files are original to the radio station. Duplicate copies of the series are maintained by the Purchasing Department, Accounting Department, Physical Plant and University architect.

Procedure:

Retain permanently.  (Files may be transferred to the University Archives for permanent retention after an office retention period of ten (10) years if acceptable to the University Archives staff.).

Arranged By: Chronological by year
Application Number: 89-25
Item Number: 170.07

Purpose:

This record series consists of broadcast contracts between the University's radio station and syndicated or independent entities.

Procedure:

Retain in office for ten (10) years following completion of terms of contract, 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: 89-25
Item Number: 170.08

Purpose:

This record series, maintained on computer disc, consists of financial data which concern the operational expenses and receipts of the radio station.  Contents in the record series include a standard cover letter, financial statements, incurred line items and projected expense data.

Procedure:

Retain data in some format (e.g. disc or printout) 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 anticipated.  Computer tape/disc maintenance and preservation procedures are to be fully applied.

Arranged By: Chronological by year, Alphabetical by name
Application Number: 89-25
Item Number: 170.09

Purpose:

Data in the record series include name of employee, rank level, number of employees at various levels, tenure status, salary history, educational background and dollar amount of salary.  The files are duplicates as originals are maintained either by the Personnel or Dean's 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.

Arranged By: By active and inactive, then Alphabetical
Application Number: 89-25
Item Number: 170.1

Purpose:

This record series contains information cards for each contributor to WNIU-FM.  Each card gives the contributor's name, address, phone number, record of contributions and any relevant notes.

Procedure:

Retain in office for ten (10) years or until expiration of administrative value, whichever is longer, then dispose of.

Arranged By: Random
Application Number: 89-25
Item Number: 170.11

Purpose:

This record consists of key words incorporated into the program text.  The "cue words" notify the broadcast operator of a beginning and ending point relevant to a specific transcript.

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
Application number: 89-25
Item number: 170.12

Purpose:

This record series consists of case files that are used to acquire appropriate licensing from the Federal Communications Commission. All broadcasting centers must seek recognized sanction prior to legal operation of the studio (Federal Communications Commission Rules and Regulations Section 1.527).

Contents in the case files include the application for a Federal Communication Commission license, license renewal forms, correspondence, formal approval, legal notices, amendments to policies, application for permit, surveys and performance tests.

Procedure:

Retain in office for two (2) FCC renewal cycles, then dispose of provided final FCC action on the renewal or original application has taken place and provided no litigation is pending or anticipated.

Arranged by: Chronological by campaign
Application Number: 89-25
Item Number: 170.13

Purpose:

This record series contains tally sheets for WNIU-FM's biannual fundraising campaigns. Each tally sheet shows the names of all contributors, the amount each contributed, the time each called in and the total amount raised by the campaign.

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 anticipated.

Arranged By: Numerical by grant number
Application Number: 89-25
Item Number: 170.14

Purpose:

This record series consists of grant administration documents from grants received under the provisions of United States Code, Title 47, Chapter 5, Part IV, subpart (a) pars. 392 and 393, and subpart (c) 396 et seq. Contents in the record series comprise equipment inventory costs, date of acquisitions, related correspondence, bills, purchase orders, budget documents, check copies and annual reports.

Procedure:

Retain in office for ten (10) years following the final termination or completion of the grant, 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 by grant number
Application Number: 89-25
Item Number: 170.15

Purpose:

This record series contains documents utilized in the administration of state grants received by the station.  Included are copies of the actual grants, annual reports sent to each issuing agency, copies of relevant bills, purchase orders, vouchers, requisitions and correspondence.

Procedure:

Retain in office for six (6) years following the final termination or completion of grant, 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, and providing all administrative value has expired.

Arranged By: Chronological by year
Application Number: 89-25
Item Number: 170.16

Purpose:

This record series consists of a document which records contributions to the university's audio-visual program.  Data in the ledgers include the amount of donation, name of contributor and date of processing.

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 anticipated.

Arranged By: Chronological by year
Application Number: 89-25
Item Number: 170.17

Purpose:

This record series consists of an index listing which shows servicing and repairs associated with the normal operations of the University's radio station. Data in the record series include transmitter tower data, meter readings, microwave statistics, light inspections and repair information for emergency and routine service.

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
Application Number: 89-25
Item Number: 170.18

Purpose:

This file serves as verification to underwriters that the "broadcast spot" has been transmitted. Contents in the case files comprise request forms, dates of running, number of spots, schedule of programming and copies of transcripts.  The document is original to the above office.  No distribution of the series exists to other areas of the University.

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
Application Number: 89-25
Item Number: 170.19

Purpose:

This record series consists of news "rundowns" containing a summary of events for ultimate reporting. In order to protect the station against any legal actions of slander, libel or violation of privacy, a five (5) year retention period is recommended consistent with Ill. Rev. Stat. 1989, ch.110, par. 13-201.

Procedure:

Retain hard copy and computer disc in office for five (5) years, then reuse and/or dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.  All computer tape/disc maintenance and preservation procedures are to be fully applied.

Arranged By: By active and inactive, then Alphabetical
Application Number: 89-25
Item Number: 170.2

Purpose:

This record series consists of listener applications for NIRIS (Northern Illinois Radio Information Service), a radio reading/information service for the blind and print handicapped. Each application gives the following information for each listener:  name; address; sex; birthdate; marital status; occupation; highest level of education; number in household, and the agency or doctor certifying the listener's handicap.  Each application also serves as an agreement with the listener for the return of any NIRIS equipment issued.

Procedure:

Retain in office for one (1) year after all university equipment is returned, then dispose of provided no litigation is pending or anticipated.

Arranged By: Alphabetical
Application Number: 89-25
Item Number: 170.21

Purpose:

This record series contains NIRIS volunteer applications submitted by persons wishing to volunteer services to the NIRIS program.  Each application gives the following information for each volunteer: name;  address;  phone number;  highest level of education;  tasks they would be willing to do;  hours per week they can give;  results of oral tests (pass or fail);  and any comments on applicants' vocabulary, accuracy, expression and interpretation.

Procedure:

Retain in office for five (5) years after volunteer's last activity in the program, then dispose of provided no litigation is pending or anticipated.

Arranged By: Chronological
Application Number: 89-25
Item Number: 170.22

Purpose:

NIRIS (Northern Illinois Radio Information Service) is a university-sponsored service which offers broadcast readings (of new stores, magazine articles, etc.)  print-handicapped persons. This record series consists of sign-in sheets completed by NIRIS volunteers showing time in, time out and activities engaged in for each period.  These sign-in sheets are used as supporting documentation for reports submitted to the Corporation for Public Broadcasting and, as a result, are subject to federal audit.

Procedure:

Retain in office for six (6) years, then dispose of provided all required audits (federal and state) have been completed and no litigation is pending or anticipated.

Arranged By: By active and inactive, then Alphabetical
Application Number: 89-25
Item Number: 170.23

Purpose:

This record series consists of personnel files for the faculty and civil service employees of WNIU-FM. Included are biographical data sheets, copies of hiring papers, evaluations, records of disciplinary action, requests for vacation/sick leave, copies of awards received and complimentary letters. Original personnel files for all civil service employees are maintained for sixty-five (65) years by the Personnel Office and original personnel files for all faculty are maintained for sixty-five (65) years by the Provost's Office.

Procedure:

Retain in office for five (5) years following the date of separation from employment, then dispose of providing no litigation is pending or anticipated.

Arranged By: By active and inactive, then Alphabetical
Application Number: 89-25
Item Number: 170.24

Purpose:

This record series consists of personnel files for WNIU-FM's student workers including work authorization forms, applications and evaluations.  Original personnel files for student workers are maintained by the Student Financial Aids Office.

Procedure:

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

Arranged By: Chronological by year, Numerical by file number
Application Number:  89-25
Item Number: 170.25

Purpose:

Data in the record series include explanation of item, cost, name of company, university department and appropriation signatures.  The original record is maintained by the Purchasing 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: Chronological by year
Application Number: 89-25
Item Number: 170.26

Purpose:

This record series consists of descriptive listings of technical operations relevant to the station's transmitting system.  The document functions as a basis for recording the operational power output, airtime and carrier frequency. Data in the series include plate current data, time allocations for broadcasting, plate voltage, transmitter output, type of frequency and operator's name.

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
Application Number: 89-25
Item Number: 170.27

Purpose:

This record series consists of log sheets generated in conformance with guidelines for program announcers.  The form is used to satisfy Federal Communications Commission requirements (e.g. station call-letter identification) pursuant to Code of Federal Regulations, Title 47, Part 21, Paragraph 213.  In addition, the log verifies to underwriters that sponsored programs have been aired. Data in the record series include program name, type of broadcast (e.g. local or national), underwriters’ credit, time periods of broadcasting and sign in-out areas.  

Procedure:

Microfilm and dispose of hard copy.  All record series microforms are to be retained in office for six (6) years, then disposed of providing no litigation is pending or anticipated.

Arranged By: Chronological by year
Application Number: 89-25
Item Number: 170.28

Purpose:

This record series consists of scripts of program proceedings presented by the University's radio station.  The audio arrangements are used as reference for past programs and provide research for any legal inquiry.  The record series is also maintained on cassette tape within the radio station. Contents in the record series include news coverage events, sportscasts, weather reports and miscellaneous spot programming.  The record series is original to the WNIU-FM radio station.  No distribution of the scripts occurs to other areas of the University.

Procedure:

Retain data (either in hard copy or audio recording media) in office for ten (10) years, then offer to the University Archives for permanent retention.  If such offer is refused by University Archives staff, then dispose of.

Arranged By: Random
Application Number: 89-25
Item Number: 170.29

Purpose:

Data in the record series include name of employee, signature of employee and proper validation of permit(s) by the Federal Communications Commission.  The original document is in the possession of the employee.  However, the radio station maintains duplicates.  (The permits are issued under provisions of Title 47, Part 13.).

Procedure:

Retain in office until superseded by a new license or five (5) years following termination of employment, 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 by year
Application Number: 89-25
Item Number: 170.3

Purpose:

This record series consists of satellite programming data used by the "board operator" to intercept broadcasts. Data in the record series include program name, time allocations and instructional information.  

Procedure: