Meeting
of the
Board of Trustees
September 17, 2015
No item in this report for release prior to 9:00 a.m. September 17, 2015.
A G E N D A
BOARD OF TRUSTEES
of
NORTHERN ILLINOIS UNIVERSITY
9:00 a.m. – Thursday – September 17, 2015
Board of Trustees Room
315 Altgeld Hall – Northern Illinois University
DeKalb, Illinois
1. Call to Order and Roll Call
2. Verification of Quorum and Appropriate Notification of Public Meeting
3. Meeting Agenda Approval ........................................................................................... Action ....... i
4. Resolution for John R. Butler, Distinguished Service to the Board of Trustees of
Northern Illinois University .......................................................................................... Action ...... 1
5. Review and Approval of Minutes: May 28, 2015 Special Meeting .................................. Action ...... 2
June 18, 2015 Regular Meeting ................................. Action ........
August 6, 2015 Executive Committee Meeting ............ Action ...... 6
6. Chair's Comments/Announcements
7. Public Comment*
8. Reports of Board Committees and Board Liaisons
a. Executive Committee
b. Academic Affairs, Student Affairs and Personnel Committee (AASAP)
c.
Compliance, Audit, Risk Management and Legal Affairs Committee (CARL)
d. Finance, Facilities and Operations Committee (FFO)
e. Legislative Affairs, Research and Innovation Committee (LARI)
f.
Ad Hoc Committee on Enrollment
g. Ad Hoc Committee on Governance
h. Illinois Board of Higher Education
i.
Universities Civil Service Merit Board
j.
Northern Illinois University Foundation
k. Northern Illinois University Alumni Association
l.
Northern Illinois Research Foundation
NIU Board of Trustees
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September 17, 2015
9. President's Report No. 99
a. University Recommendations Forwarded by the Board Committees
1) Request for Deletion of Emphasis ................................................................ Action ......... 8
2) Recommendation for Tenure ........................................................................ Action ......... 9
3) Enterprise Risk Management System (ERM) ................................................... Action ....... 10
4) FY16 Internal Budget ................................................................................... Action ....... 11
5) FY17 Budget Request Guidelines................................................................... Action ....... 13
6) FY17 Appropriated Capital Budget Request .................................................... Action ....... 16
7) FY17 Nonappropriated Capital Budget ........................................................... Action ....... 31
8) Investment and Cash Management Policy ...................................................... Action ....... 34
9) Department of Psychology Subcontract Amendment ....................................... Action ....... 42
b. University Reports Forwarded by the Board Committees
1) 2014-15 Faculty Emeritus Recognition ................................................... Information ....... 43
2) Professional Excellence Awards for Faculty and Staff .............................. Information ....... 44
3) FY15 Report on Tuition and Fee Waivers ............................................... Information ....... 46
4) FY15 Report on Capital Activities .......................................................... Information ....... 47
5) FY15 Annual Report of Transactions Involving Real Property ................... Information ....... 53
6) FY15 Annual Report of Cash and Investments ........................................ Information ....... 54
7) Quarterly Summary Report of Transactions in Excess of $100,000 ........... Information ....... 59
8) Annual Summary Report Obligation of Financial Resources .................... Information ....... 69
9) State Legislative Update....................................................................... Information ....... 70
10) Federal Relations Update ..................................................................... Information ....... 74
11) Broadband and Healthcare Initiatives .................................................... Information ....... 76
12) Annual Sponsored Programs Report ...................................................... Information ....... 81
10. Other Matters
11. Next Meeting Date
12. Closed Session
13. Adjournment
*Individuals wishing to make an appearance before the Board should consult the Bylaws of the Board of Trustees
of Northern Illinois University, Article II, Section 4 – Appearances before the Board. Appearance request forms will
be available in the Board Room the day of the meeting. For more information contact Kathleen Carey,
(kjahns@niu.edu) Recording Secretary to the Board of Trustees, Altgeld Hall 300, DeKalb, IL 60115, 815-756-1273.
Anyone needing special accommodations to participate in the NIU Board of Trustees meetings
should contact Ellen Andersen, Director of Special Events, at (815)753-1999, as soon as
possible.
NIU Board of Trustees
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September 17, 2015
Action
Agenda Item 4
September 17, 2015
RESOLUTION
JOHN R. BUTLER
DISTINGUISHED SERVICE TO THE BOARD OF TRUSTEES
OF NORTHERN ILLINOIS UNIVERSITY
WHEREAS, John R. Butler has faithfully served as a member of the Northern Illinois University Board of Trustees
since 2007; and
WHEREAS, on June 30, 2015, John R. Butler completed his second consecutive term as Chair of the Board of
Trustees; and
WHEREAS, John R. Butler has also served the Board in the position of Vice Chair of the Board and Chair of the
Academic Affairs, Student Affairs and Personnel Committee from 2009-2011; and currently serves as Vice Chair
of the Board; Chair of the Finance, Facilities and Operations Committee; Chair of the Ad Hoc Committee on
Governance; and Vice Chair of the Ad Hoc Committee on Enrollment and the Academic Affairs, Student Affairs
and Personnel Committee; and
WHEREAS, John R. Butler has invested a significant amount of time and energy in service to the Board of Trustees
and the students, faculty, staff and administration at Northern Illinois University for more than eight years,
particularly, upon assuming the duties as Chair, presiding over the installation of the 12th President of NIU,
Douglas D. Baker, during a period of rapid transformation of the demands, responsibilities, and expectations of
public higher education; and
WHEREAS, as Chair, John R. Butler led the Board of Trustees and the university through efforts to facilitate and
align the work of the Board with that of the university; bring transparency to the budget development process;
encourage discussion and innovation to address the evolution of NIU’s sophisticated and dynamic approach to
programming geared toward diversity; enhance the Board’s understanding of and appreciation for the research
activities of the students and faculty, and the impact of NIU research on disciplinary knowledge and related
industries; and respond to the important expectations and responsibilities that occasion higher education
governance today; and
WHEREAS, in furtherance of these objectives, John R. Butler created the Ad Hoc Committee on Sponsored Research
and Technology Transfer; oversaw a revision of committee composition resulting in the formation of the
Legislative Affairs, Research, and Innovation Committee and the Compliance, Audit, Risk Management, and Legal
Affairs Committee; created the Ad Hoc Committee on Governance; and created the Ad Hoc Committee on
Enrollment; and
WHEREAS, we as his colleagues on the Board of Trustees want to express our appreciation for his years of service
to the NIU community and especially his leadership of the Board from 2013-2015, and look forward to John R.
Butler’s continued service to the Board, faculty, staff, students and administration through at least January 2019;
NOW, THEREFORE BE IT RESOLVED that the Board of Trustees of Northern Illinois University in formal meeting
herein assembled extends its grateful appreciation to John R. Butler for his distinguished service to Northern
Illinois University as Chair of the Board of Trustees from July 1, 2013 through June 30, 2015.
BE IT FURTHER RESOLVED that this RESOLUTION be presented to John R. Butler and a copy of this document
be placed in the official files of the Board of Trustees as part of the permanent record of the university and the
great State of Illinois and as a lasting tribute to the accomplishments of John R. Butler.
Adopted in a regular meeting assembled this 17th day of September, 2015.
BOARD OF TRUSTEES OF
NORTHERN ILLINOIS UNIVERSITY
Marc J. Strauss
Chair
Attest: Robert T. Marshall, Jr.
Secretary
NIU Board of Trustees
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September 17, 2015
Minutes of the
NIU Board of Trustees
Of Northern Illinois University
Special Meeting
May 28, 2015
CALL TO ORDER AND ROLL CALL
The NIU Board of Trustees Special Meeting was called to order by Chair John Butler at 3:51 p.m. at the
NIU Hoffman Estates Campus. Linda Odom conducted a roll call of Trustees. Members present were
Trustees Robert Boey, Wheeler Coleman, Anthony Iosco, Robert Marshall, Cherilyn Murer, Paul Julion,
Vice Chair Marc Strauss, and Board Chair John Butler. Others Present were President Doug Baker,
General Counsel Jerry Blakemore, Board Liaison Mike Mann, Al Phillips.
VERIFICATION OF QUORUM AND APPROPRIATE NOTICE OF PUBLIC MEETING
General Counsel Jerry Blakemore indicated that appropriate notification of this meeting had been
provided pursuant to the Illinois Open Meetings Act. With a quorum present, the meeting preceded.
MEETING AGENDA APPROVAL
Trustee Strauss made the motion to approve the agenda and Trustee Marshall seconded. There was no
discussion and the motion was approved.
CHAIR’S COMMENTS/ANNOUNCEMENTS
Chair Butler thanked everyone for staying for the meetings today. University Advisory Council (UAC)
representative Dr. Bill Pitney indicated that he had no remarks to make on behalf of the UAC.
PUBLIC COMMENT
General Counsel Jerry Blakemore noted that no timely requests had been made at either the Hoffman
Estates campus or by those assembled at the DeKalb campus.
PRESIDENT’S REPORT NO. 97
Agenda Item 6.a. (1) – Appropriation Transfer Authorization
Chair Butler turned the floor over to President Doug Baker to give the report.
President Baker thanked Chair Butler for going to Springfield last week on an important day of budget
talks. He also thanked the faculty, staff, and students for their letters in support of the university, sent to
local legislators and key leaders of the legislature.
President Baker indicated the first item is an appropriation transfer. This is the rescission of $2.1 million
back to the state. Approval is needed today so it can go to the Illinois Board of Higher Education for
approval. Trustee Murer so moved and Trustee Strauss seconded. There was no opposition and the
motion was approved.
Agenda Item 6.a. (2) – Scope Clarification to Previous Board Approval/Neptune Complex
President Baker noted that the second item is a cleanup item. The exact wording in the Neptune and
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September 17, 2015
Holmes core campus complex project didn’t have the word “Neptune” in it, so we need to go back and
clarify that Neptune is part of that of previously-approved action. President Baker requested approval of
that clarification. Trustee Strauss moved and Trustee Julion seconded. There was no opposition and the
motion was approved.
Agenda Item 6.b. (1) – Appointment of Interim Dean College of Law
The next item is the appointment of the Interim Dean of the College of Law. President Baker introduced
Mark Cordes and reported that Dean Jennifer Rosata-Pera has taken a deanship at DePaul University. It’s
a loss for the university, he noted; she was a wonderful dean, but we have the wonderful opportunity
now to work with Professor Cordes. He has held a variety of administrative positions. He’s the recipient of
the College of Law’s Alumni Council’s Outstanding Professor award for his alumni activities and he’s also
been voted the college’s professor of the year. Professor Cordes is a distinguished scholar, having written
more than two dozen books, book chapters, and law review articles. President Baker reported that there
was an internal search process and Professor Cordes emerged as the top candidate and has strong
faculty support. President Baker requested the Board approve the appointment of Professor Cordes as
the Interim Dean of the College of Law. Trustee Marshall moved and Trustee Strauss seconded. There
was no opposition and the motion was approved.
Agenda Item 6.b. (2) – Appointment of Interim Dean College of Visual and Performing Arts
President Baker indicated that the next item concerned the appointment of the Interim Dean of the
College of Visual and Performing Arts. Dean Rich Holly has taken another position in North Carolina, he
noted, and the Provost has met with the faculty and discussed the interim dean position. Dr. Paul Bauer
emerged as the consensus candidate. Professor Bauer had been in the School of Music for 20 years until
his retirement and he’s agreed to come back. He is a distinguished trombone performance person, and
he’s also nationally known for his accreditation work and his outstanding work with students, faculty and
staff in the college. President Baker requested the Board approve the appointment of Paul Bauer as the
Interim Dean of the College of Visual and Performing Arts. Trustee Strauss moved and Trustee Boey
seconded. There was no opposition and the motion was approved.
Agenda Item 6.b. (3) – Appointment of Interim Vice President for Research and Innovation
Partnerships
President Baker indicated that a third appointment is Dr. Gerald Blazey as the Interim Vice President for
Research and Innovation Partnerships. He indicated that he has worked with Professor Blazey for two
years, most of that time during his time in the White House in the Office of Science and Technology
Policy. I saw him in action in Washington D.C.; and, not only is he well respected on our campus, he is
listened to on the hill and in the agencies. He can provide our faculty and staff great insights on how to
navigate that complex world in Washington, to seek funding for the important work our faculty do. Dr.
Blazey is a Professor in the Department of Physics and a Distinguished Research Professor nationally
known. I would suggest he’s an excellent candidate for this position and ask we appoint him as the
Interim Vice President. Trustee Strauss moved and Trustee Murer seconded. There was no opposition
and the motion was approved.
CHAIR’S REPORT NO. 70
Agenda Item 7.a. – Proposed Changes to Board Bylaws, Regulations, and Policies Concerning
Board and Presidential Contracting and Related Matters First Reading Items
Chair Butler gave the Chair’s Report No. 70. He explained that he prepared Item 7a after having
discussion with Trustees and President Baker. About a year ago, the Board of Trustees and the
administration considered potential changes to the Board Bylaws and Regulations dealing with
presidential contracting. At that time those changes were tabled, but today some of those items are
being brought back to the Board for its consideration and discussion. He recommended Trustees review
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September 17, 2015
the areas of interest discussed in the Item and that the list serve as an invitation for a wider discussion
among university stakeholders. He noted that Board Liaison Mike Mann had copies for anyone who
wished to take one and perhaps offer input to the Ad Hoc Committee on Governance, which he noted
was tentatively scheduled for June 15, 2015, at 1:30 p.m. At that meeting, the Committee will consider
the list and any other input received from Board members up until that point, and begin to draft actual
policy on these areas of interest. This will also provide us an opportunity to learn from members of the
University Advisory Council of their impression of these issues, and anyone else who wishes to address
the Committee. I don’t want to foreclose any Board discussion today of these items, and I’m certainly not
wedded to the approach that I just outlined, but I think it’s the most efficient way for us to bring changes
to the Board on June 18th, which would be the actual Board meeting where we might bring the policies
forward for Board consideration.
Trustee Strauss indicated he was aware of the effort that went into getting to this point; the input and
the draft is a good summary and a starting point for discussion that would more appropriately occur
within the committee meeting and he endorsed the approach outlined. Chair Butler asked if there are
any other comments from trustees. Following a question concerning procedure for changing Board
regulations by Trustee Coleman, Chair Butler clarified that this approach was being adopted so the Board
members could signal areas of interest for trustees and other stakeholders involved in Board business,
and indicated that some drafting had already occurred but the material was not ready for consideration
today, but would be further developed by the Ad Hoc Committee.
Trustee Boey requested some clarification regarding the changes being proposed. Chair Butler
responded that the Committee seeks to draft several amendments to Board regulations that deal with
some of the issues that have been widely discussed concerning the use of consultants and the
classification of employees as “affiliate employees.” In addition, he indicated that the list includes some
procurement procedures related to sponsored research and modification to existing policy concerning the
hiring of employees that report directly to the President whose function may involve cabinet level
leadership, although they might not have the title of a vice president, which is typically when the Board
gets involved. He indicated there were some other changes that are listed in the Item, as well as a list of
obligations that were entertained by the Board a year ago concerning the president’s consultation with us
on areas within his spending and contracting authority. Finally, the Item commits the Board to discuss
with representatives of the NIU Foundation whether we need any guidelines to regulate the university’s
use of Foundation funds.
Chair Butler added that he did not anticipate at this stage any bylaw changes, although there is one area
where we may -- this envisions the possibility that the Board may put in place procedure for when the
Board retains consultants, in which case, it may wish to make changes to its bylaws.
Trustee Murer moved to endorse the approach discussed. Trustee Strauss seconded the motion. There
was no opposition and the motion was approved.
OTHER MATTERS
No other matters were discussed.
CLOSED SESSION
Chair Butler indicated the Board will go into closed session now and will reconvene in approximately one
hour. We don’t have any business planned at the end of this meeting; however, I should remind
everyone that the Board’s Executive Committee is going to go into session as soon as this meeting has
concluded. If you have an interest in the item that’s on the Executive Committee agenda, consult with
Mike Mann, who may notify you of the precise time the Executive Committee is to begin. Chair Butler
called for a motion to close the public meeting to discuss the following subjects authorized by the Illinois
Open Meetings Act: personnel matters as generally described under sections 2C1, 2, 3 and 21 of the
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September 17, 2015
Open Meetings Act, and litigation and risk management matters as generally described under sections
2C2, 11 and 12 of the Open Meetings Act. Trustee Strauss moved and Trustee Murer seconded the
motion. Chair Butler asked for a roll call vote. Linda Odom performed the roll call vote.
Trustee Robert Boey: Yes
Trustee Wheeler Coleman: Yes
Trustee Anthony Iosco: Yes
Trustee Robert Marshall: Yes
Trustee Cherilyn Murer: Yes
Vice Chair Marc Strauss: Yes
Student Trustee Paul Julion: Yes
Board Chair John Butler: Yes
The motion was approved.
Chair Butler continued, the meeting is now closed and will be reopened at the conclusion of the Board’s
closed session for the purposes of adjournment. The Board went into closed session at 4:11 p.m.
RECONVENE PUBLIC MEETING
The public meeting of the Board of Trustees of Northern Illinois University reconvened at 7:11 p.m. at the
Hoffman Estates Campus. Chair Butler called for a roll call. Ms. Odom performed the roll call. Members
present were Trustees Wheeler Coleman, Robert Marshall, Paul Julion, Vice Chair Marc Strauss, and Chair
John Butler. Not present were Trustees Robert Boey, Anthony Iosco, and Cherilyn Murer.
Chair Butler asked if there were other matters to come before the Board.
discussed.
No other matters were
ADJOURNMENT
Chair Butler asked for a motion to adjourn the meeting. Trustee Strauss made a motion and Trustee
Coleman seconded. There was no discussion. The motion was approved.
Meeting adjourned at: 7:22p.m.
Respectfully submitted,
Linda Odom
Recording Secretary
In compliance with Illinois Open Meetings Act 5 ILCS 120/1, et seq, a verbatim record of all Northern Illinois
University Board of Trustees meetings is maintained by the Board Recording Secretary and is available for
review upon request. The minutes contained herein represent a true and accurate summary of the Board
proceedings.
NIU Board of Trustees
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September 17, 2015
Meeting of the
BOARD OF TRUSTEES
OF NORTHERN ILLINOIS UNIVERSITY
June 18, 2015
1. CALL TO ORDER AND ROLL CALL
The meeting was called to order at 9:09 a.m. by Chair John Butler in the Board of Trustees Room, 315
Altgeld Hall. Recording Secretary Linda Odom conducted a roll call. Members present were Trustees
Robert Boey, Robert Marshall, Wheeler Coleman, Paul Julion, Vice Chair Marc Strauss, Chair John Butler.
Trustee Anthony Iosco and Cherilyn Murer were absent. Also present were President Douglas Baker,
Board Liaison Mike Mann, Executive Vice President & Provost Lisa Freeman, General Counsel Jerry
Blakemore, Greg Brady, Anne Kaplan, Al Phillips, Gerald Blazey, Eric Weldy, Catherine Squires, Mike
Malone, SPS Council representative Deborah Haliczer, OSC representative Jay Monteiro and UAC
representative Rebecca Shortridge.
2. VERIFICATION OF QUORUM AND APPROPRIATE NOTICE OF PUBLIC MEETING
General Counsel Blakemore indicated that appropriate notification of the meeting had been provided
pursuant to the Illinois Open Meetings Act. With a quorum present, the meeting preceded.
3. MEETING AGENDA APPROVAL
Chair Butler asked for a motion to approve the meeting agenda. Trustee Strauss move to create a
consent agenda immediately preceding the beginning of the President’s Report and move President’s
Report No. 98, Action Items 8.a.2, 3, 7, 8, 9 and 10 and Information Items 8.b.2, 3, 4 and 6 to that
consent agenda. Trustee Marshall seconded the amendment to the agenda. The motion was approved.
4. REVIEW AND APPROVAL OF MINUTES
Chair Butler indicated there were four sets of meeting minutes to consider beginning with the Special
Meeting of the Board held on February 26, 2015. Trustee Strauss made a motion to approve and Trustee
Marshall seconded. The motion passed.
Next were the minutes of the Regular Board meeting of March 12, 2015. Trustee Marshall made a motion
to approve and Trustee Julion seconded. The motion passed.
Trustee Strauss continued with a motion to approve the minutes of the Special Meeting of the Board on
May 7, 2015. Trustee Julion seconded. The motion passed.
Finally, the minutes of the Special Meeting of the Board held on May 13, 2015 were considered. Trustee
Coleman made a motion to approve and Trustee Julion seconded. The motion passed.
5. CHAIR’S COMMENTS/ANNOUNCEMENTS
Chair Butler recognized the University Advisory Council representatives present including Deborah
Haliczer, Jay Monteiro, Greg Waas, Rebecca Shortridge, and Dan Gebo and asked for any comments.
Jay Monteiro noted on the agenda the resolution honoring Trustee Julion and said he wanted to
congratulate Paul, who served as one of his student employees in the College of Education. It always
does me good to see our students succeed and do great things, and I want to wish you the best as you
move on. Thank you Paul.
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June 18, 2015
Chair Butler began his comments by welcoming to the Board the NIU student who received the support
of her peers to become the next student trustee, Raquel Chavez. Trustee Julion will continue to serve in
this post until the end of his term, which will be the end of June, and Miss Chavez will become a member
of the Board effective July 1. She’ll be formally sworn in at the Board committee meeting that occurs
most immediately following July 1st. Miss Chavez was elected, along with three other Student Association
executives, so I want to also congratulate Nathan Lupstein who was elected as the new President of the
Student Association; Reginald Bates, Jr. who was elected as the new Vice President, and Mark Calvey
who was elected as the new Treasurer.
Chair Butler continued, in addition we will be the final vote in a lengthy process that confers upon several
of our outstanding faculty tenure and promotion. These are critical milestones in the careers of these
professionals and affirmation that NIU is a place where individuals can thrive as scholars, teachers and
leaders in their professions and community. We will discuss the ongoing efforts to engage in program
prioritization, a process that is being employed to define our future and deal with the unprecedented
fiscal challenges that require our creative response. We will learn more about the efforts of state law
makers and the executive branch to broker a budget that, if we are diligent and present in that
conversation, will continue to honor the value proposition of higher education, and its impact on the
state’s economy and the lives of state residents. This Board will also demonstrate that it intends to meet
the expectations of a public that demands more transparency and accountability in higher education
governance. We will consider important revisions to our open meetings practices and discuss policies that
are designed to improve the exchange of information between the Board and the administration in the
area of contracting and employment authorization, so that we can exercise the level of oversight that is
expected of us within and industry and a state that is shining a brighter light on the processes and
practices of higher education institutions and demanding that these endeavors that we undertake at NIU
make good sense. We will honor one of our own for his service and friendship and demonstrate once
again that this Board is a democratic body capable of governing itself and empowering its members to
assume the responsibilities of leadership. My two terms as the Board Chair come to an end at the end of
this month and as such, this will be my last meeting as Chair. I want to thank my Board colleagues and
all the leaders in this room for your support, trust and good company. It has been an exhilarating
experience and a pleasure. So thank you.
6. PUBLIC COMMENT*
Chair Butler indicated we had received some timely requests to address the meeting. Sharon May was
asked to the podium to address the Board and was requested she keep your remarks under five minutes.
Speaker Sharon May: Good morning. I thank the Board of Trustees for granting me the opportunity to
speak today. I humbly request your patience as I am not, nor ever have been, nor ever will be, a public
speaker. I had attended the Ad Hoc Governance Committee meeting on Monday and was gratified to
hear that the committee is considering additional oversight on presidential hires, fires, and consultants.
However, although both Provost Freeman and Vice President Phillips objected to this suggestion, I do
believe the oversight should extent to the vice presidential hires, fires, and consultants as well. I do
believe that the influence of, or pressure by, their superior is enough for them to make questionable
decisions. I would like to give support to my contention by presenting one example that involves both a
consultant and a hiring. A contract was signed with Wally Pfeiffer for consulting services. Dr. Pfeiffer is, at
minimum, known to Dr. Baker, since Dr. Pfeiffer was a bronze level donor to the University of Idaho
Foundation when Dr. Baker was Provost. Additionally, I have been told that Dr. Pfeiffer did mention to
more than one HR employee that he had been a school chum of Mr. [Ron] Walters. Remember Mr.
Walters was hired as a special consultant to the President. However, Dr. Pfeiffer’s purchase order was
requested by Vice President Nicklas and the contract was signed by interim CFO [Nancy] Suttenfield. The
contract was in the amount of $19,999.99. I believe all attendees of this meeting should by now
understand the implication of this amount in reference to the state procurement code. Further, there is a
line in the contract that states under no circumstances will university pay for charges in access of the
agreed upon fees. One of the early problems with this contract is the work performed preceded the
effective date of the contract. This is another example of an issue that Mr. Van Buer introduced at the Ad
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Hoc Governance Committee meeting. Mr. Pfeiffer’s first invoice indicated that work was performed prior
to the contract. Unfortunately, the second invoice exceeded the contractual limit, albeit by a minimal
amount. The President’s Office therefore instructed the Foundation to issue a purchase order for the
difference. May I point out this is the same methodology used when the President was informed that Ms.
Suttenfield’s employment agency contract was signed in violation of state procurement rules. The action
taken for Dr. Pfeiffer may have avoided state procurement laws as far as actual invoices were concerned,
but the free hotel stay was not taken into account. The excess amount plus a hotel bill easily pushed
payment on this contract into a violation of state procurement rules. However, subsequently the
university voided the accounts payable check that had been written for the invoice received under the
consultant contract and Dr. Pfeiffer was put on the payroll for two periods as yet another affiliate
employee. He was later issued a second smaller purchase order but without a contract. This flip-flop of a
consultant to an employee, back to a consultant within a very short period of time, seems to imply some
very questionable activity that may have been intended to circumvent state rules. Another interesting
item is that, and it just may be by some odd coincidence, Dr. Pfeiffer’s first payroll amount was exactly
equal to the amount of this second invoice. Even if this payment could be considered acceptable by state
regulators, the invoice did include travel. And, as this year’s audit finding pointed out, commuting costs
incurred by an employee is not reimbursable by state law. Therefore, similar to Mr. Walters, the
university should be requesting Dr. Pfeiffer reimburse the university $1,557.00. The second payroll
payment may have also included travel, but I have not as yet received a copy of the support for that
amount. The point I’m trying to make to the Board is that questionable activity at sub-presidential level
appears to be at the request or direction of the President. Therefore, I would suggest that oversight by
the Governance Committee should extend to that level. Thank you for your attention.
Chair Butler thanked Ms. May and asked if any trustees had questions. Seeing none, Chair Butler asked
the next speaker interested in address to the Board, Derek Van Buer, to address the Board.
Speaker Derek Van Buer: Thank you for the opportunity to speak today. Unfortunately I won’t be able to
give a formal presentation since my simple request of how much time would be allowed wasn’t answered
until 3:30 or 4:00 p.m. yesterday. I realize that there is confusion based on my attending an ad hoc
committee on this issue of public comments. Today I want to talk about governance. None of what I am
talking about today is legal advice; rather, it’s just a general discussion. On Monday, the ad hoc
committee [on Governance] met. Hopefully, I would be able to share a few items about oversight to
further the discussion on governance. Oversight does not just include those items that you review, but
the policy’s internal controls and compliance review. I know that Trustee Marc Strauss is a firm believer in
trying to hire a Chief Compliance Officer. In my brief discussion I will use travel vouchers and time
reporting as examples. Last year, around this time, I requested Ron Walters’ travel vouchers, TA2s, which
shows where your headquarters is located, and expense receipts. The first line of oversight is at the point
of submittal, as in submittal of travel vouchers with review and approval process. This is an internal
control. In addition to this, the employee certifies the travel voucher with his signature, if you want to
look at the travel voucher, it’s in the package. In addition to this employee certifying the travel vouchers,
employees at NIU are required to undergo ethics training each year so that they understand ethics. As
you view the attached travel vouchers and receipts, you would notice a consistent pattern: Ron Walters
traveled from his home on Lopez Island to a residence on Belmont and Pine. He spends the night before
flying to Chicago and charges a per diem for the night, etc. The problem with the per diem is that it
appears that that he’s staying in his own apartment in Seattle that is located at Pine and Belmont. On the
first page you can see a picture of him at his Seattle condo. I got that off his website and he got married
in mid-August 2013, and so those travel vouchers are just before that time and throughout the period
afterwards. The issues are with Ron Walters and his travel vouchers, but also the internal controls of
somebody of the President also failed. The process failed numerous times. I have included a photo from
Ron Walters’ wedding site. I have also included a white page listing that I received showing Ron Walters
Seattle address at Belmont and Pine. I’ve also included in the handout the results of a FOIA request of
the [Higher Education] Travel Control Board that shows that NIU finally submitted to the Travel Control
Board that Ron Walters was not in travel status at any time of his employment of NIU, and therefore he
was not allowed to claim reimbursement for his commute to work. Why was Ron Walters hired as a
temporary employee? If he was going to be hired as a consultant the pesky procurement process would
NIU Board of Trustees
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have been required as the contract exceeded $20,000. Why was he always referred to as a “consultant”
instead of as an advisor, or a special assistant, to the President? “Advisor” or “special assistant” indicates
employee. Doesn’t consultant refer to a non-employee? This breach of public trust should not have
occurred. Where is the compliance review at NIU? Does internal audit function have enough
independence from the President’s Office? How about the Controller’s Officer? Last year both the
controller and assistant controller were put on administration leave. Why? The Office of the Controller
had a reputation through NIU as being very tough to adherence to rules and regulations especially when
it came to adherence and travel regulations. This toughness that’s demonstrated in reviewing past years
of the minutes of the Travel Control Board, NIU really had to request an exception to travel regulations.
The oversight of the Board [of Trustees] must include a review of purchase, although it seems likely
enough not to play with procurement rules, regulations and law. There are too many purchase orders
close to the limit before requiring a bid, such as all these purchase orders for $19,999, as the President
recently did for his legal fees. There is numerous examples also, with the President’s authority, for
projects at $249,000 with the spending authority of the President’s $250,000. Hopefully you will take a
step back and examine the internal controls that are necessary and what your duties and responsibilities
are. Finally, I want to thank Vice Chair Coleman of the CARL Committee. It was with immense pleasure
that his meeting in Hoffman Estates finished ten to fifteen minutes early a couple of weeks ago. Thank
you.
Chair Butler thanked Mr. Van Buer for his comments.
7. REPORTS OF BOARD COMMITTEES AND BOARD LIAISONS
a. Executive Committee
Committee Chair John Butler reported the Executive Committee met on May 28, 2015, at the NIU
Regional Campus in Hoffman Estates where the committee approved the university President’s request
for indemnification against reasonable expenses incurred in connection with the provision of separate
legal services. The request relates to matters associated with presidential duties and responsibilities, and
approval was sought in accordance with Article IX of the Board of Trustees Bylaws. Executive Committee
approval was limited to a total expenditure of $50,000 with the understanding that if there is need to
extend this approval in the future, the Executive Committee requests that the President bring the matter
back to the Executive Committee for review and consideration.
b. Academic Affairs, Student Affairs and Personnel Committee
Committee Chair Robert Marshall reported that, at the May 28, 2015 meeting of the Academic Affairs,
Student Affairs and Personnel Committee, we approved three items. Those items were: recommendation
for faculty promotion, tenure, and promotions with tenure for 2015/2016; a change in degree designation
for the current Doctorate of Education and Instructional Technology in the Department of Education and
Technology, Research and Assessment within the College of Education to become a PhD in instructional
technology; and the oral English proficiency report. In addition, there were also three information items
presented that included a presentation by NIU student Julia Boyle, who placed fifth in the nation at the
2015 Interstate Oratory Contest; presentations by the four presidential commissions to update the Board
on their activities over the last year; and an update on search progress and future searches for FY16.
c. Compliance, Audit, Risk Management and Legal Affairs Committee
Committee Chair Robert Boey reported the CARL Committee met on Thursday, May 28, 2015. The
minutes of February 26, 2015 were approved and a proposed agenda included a presentation on
Enterprise Risk Management System. The presentation discussed why enterprise risk management was
important to the university, how it’s defined, the benefits of enterprise risk management, and how it
differs from the traditional risk management. The presentation also addressed the various types of
enterprise risks including strategic, financial, operational and hazard risks, and best practices in these
areas. Lastly, the presentation provided an overview of how the university would like to move forward
with the implementation of enterprise risk management at NIU and on which areas to focus. The next
meeting of the CARL Committee is scheduled for August 27, 2015.
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d. Finance, Facilities and Operations Committee
Committee Chair Marc Strauss reported the Finance, Facilities and Operations Committee also met on
May 28, 2015, in Hoffman Estates. The committee approvals included action items on today’s agenda
9.a.4, 5, 6, 7, 8, 9 and 10. The highlight of the consideration of committee was a presentation regarding
the preliminary operating budget for FY16, which is also on the agenda today for consideration.
e. Legislative Affairs, Research and Innovation Committee
No report given in the absence of Chair Murer.
f.
Ad Hoc Committee on Enrollment
Committee Chair Strauss reported the committee met on June 15, 2015. There were two main agenda
items: a conclusion of the Provost’s report on the process for academic programming changes, be those
additions or deletions, including a new Illinois Board of Higher Education data collection for low
enrollment programs. Secondly, a report on enrollment office revisions including staff reorganizations
and additions, training initiatives, and new approaches. The meeting also included a public comment
concerning the way students are treated at the Holmes Student Center and follow-up on this item was
referred to Dr. Weldy.
g. Ad Hoc Committee on Governance
Committee Chair Butler reported the Ad Hoc Committee on Governance met on June 15, 2015, following
a meeting of the Ad Hoc Committee on Enrollment. The committee reviewed its work to date and
considered several new items stemming from the public comment concerning the Board’s open meetings
policy and the Board’s commitment to engage in university policy making affecting Board Bylaws,
Regulations and Policies concerning Board and presidential contracting and related matters as expressed
in its areas of interest document approved at the Special Meeting of May 28, 2015. The committee first
considered a revision of Article 2, Section 4 of the Board Bylaws, which concerns appearances before the
Board. Trustees will recall that members of the public expressed concern over Board policies concerning
public comment at the March 12, 2015 meeting. The committee voted to forward an entirely revised
Section 4 to the full Board, presented today as an action item under the Chair’s Report. As this is a Bylaw
amendment, it is being presented today for first reading. The committee then considered amendments to
the Board Regulations and Bylaws concerning Board and presidential contracting, beginning with
amendments to Section 2, Subsection A, 2, which concerns faculty and administrative appointments. Two
amendments were discussed but not recommended for Board action today because committee members
requested more information. All other proposed amendments were deemed ready for advancement to the
full Board. This includes amendments to the administrative approval provisions under Section 5,
Subsection B of the Board Regulations concerning obligations and financial resources. These include new
obligations for the president that are outlined in the proposed changes we have before us for adoption
today. Amendments to Article 7, Sections 1 and 3 of the Board Bylaws concerning duties and
responsibilities of the president and Board and presidential assessment were reviewed and recommended
for first reading also by the full Board today.
h. Illinois Board of Higher Education
President Baker provided the report concerning the Illinois Board of Higher Education. Two weeks ago
the Illinois Board of Higher Education met on the Urbana Champaign campus of the University of Illinois.
Prior to that meeting, the presidents and chancellors met to discuss the current state of the budget. We’d
all been working collectively and individually and we’re meeting on a weekly basis through teleconference
to discuss strategies for the legislature; and, it’s a good group that’s trying to do their best and move
forward. About a month ago, Chairman Butler attended, with one other board member from another
school, and presidents and chancellors, visits with key legislators and staff from the governor’s office. I
thank Chair Butler for doing that. Interestingly, at the meeting the major topic was in fact not the
budget, but it was credit for prior learning for the Illinois Board of Higher Education. They were
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interested in pathways to success for students in trying to streamline that process through giving credit
for prior learning. There were no actions taken at the meeting relative to NIU. There was a presentation
by Beth Purvis, the Education Director for the Governor. No substantive issues relative to us.
i.
Universities Civil Service Merit Board
Trustee Marshall, the Board’s representative to the Universities Civil Service Merit Board, reported they
met on May 20, 2015. Our first action was to appoint Anna Johnson as the new secretary and to welcome
new member Jill Smart. Additional approved action items included authorization for the executive director
to implement and administer the FY16 budget; permission to continue public officials errors and
omissions insurance coverage; forwarding proposed rule changes to the Secretary of State; and sending
a formal letter to two state universities that were in non-compliance with Merit Board requests for
information. The board received updates from the Human Resources Directors Advisory Committee, the
State Universities Civil Service Advisory Committee, the board’s legal counsel, and, in his last meeting
before retirement, a report from the Executive Director Tom Morelock. As a footnote, there is a search
underway for a new executive director.
j.
NIU Foundation
Vice President of University Advancement Mike Malone reported that, at its February meeting, the
Foundation Board discussions were based around risk management, enterprise risk management, for the
Foundation. The keystone of the conversation was based on the Russian proverb, “doveryai, no
proveryai,” or “trust but verify.” He reported that, at the June meeting of the Foundation Board, recently
completed, that tightening of risk management operations was operationalized, in accordance with the
resolution of the Board of Directors of the NIU Foundation. One of the keystone measures is to use the
Board of Trustees and the university as a firewall. So whatever measures the Board of Trustees and their
policies enacts, the Foundation stand behind that and have additional layers behind that which will look
at donor intent, etc. First, consider state law, then consider university policies approved by the Board [of
Trustees], and finally our own layer of considerations that need to be reviewed and operationalized.
Moving forward, this is a focus for the Foundation Board as well and looking forward to working in
concert with you to communicate this to the users of accounts both at the university and at the
Foundation.
Vice President Malone continued, I’m pleased to report that, in the two key measurements for fundraising
that we use each year, the first being a very simple cash in the door, revenue received during the fiscal
year, and the second being a little more involved fundraising activity that I’ll define later, the NIU
Foundation is seeing significant improvement over performance of the prior fiscal year. Right now, cash
in the door stands at $10.2 million for this fiscal year. We expect to end the year at a little over $11
million, including a number of pledges that are due, that get triggered by the end of the fiscal year. Last
year, we ended the year with cash in the door at $9 million, so that’s a $2 million increase. Another
measure is fundraising activity. What we count in fundraising activity are those irrevocable pledges that
are made; whether they trigger payments over the next five years, and also, most importantly, bequests
that are made where we have been listed in an individual’s estate plans for a gift that will mature at
some point in the future. Those are irrevocable and we count them in terms of fundraising activity. It is in
that area where we’ve seen a fairly significant increase this year. We stand at $15.3 million in fundraising
activity. We expect to end the year at $16 million plus. The goal this year was set was at $14 million,
which we felt was a pretty good stretch goal. That includes about $7 million in planned gifts. That is an
increasingly growing and important part of fundraising for any organization and will be very important to
NIUs future as we move forward and in the next campaign. The annual fund is also up this year by the
way. We’re up over a $1 million, and it will wind up being our best annual fund performance in about a
decade. So, I am very happy to go out on that note.
Vice President Malone continued, my successor, Catherine Squires, is here. I know you greeted her at the
last board meeting, but she was elected by the Foundation Board of Trustees at their June meeting and
will take office as the NIU President and CEO on July 1st. Welcome Catherine to this podium, as you give
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the Foundation report in years following, and I’m sure they’re going to be sensational numbers for you to
report as well. It’s been a great pleasure ending my career at Northern with a really professional
experience, which has been the transition. We were allowed two months to work together and I think
that’s been a benefit for the university, for Catherine, and also for me personally to have that time to
work with Catherine. You are in good hands and I want to thank you all, volunteers, Board members,
who have consistently, and this Board, it’s previous Boards, that have consistently attended and been
part of, and been very active in, alumni and Foundation events over the years. It is so important to our
donors to know that the Board of Trustees, by their attendance, by their presence, by their participation,
is paying attention to the role that alumni and donors are increasingly being asked to play in determining
the future of NIU; and, I want to thank you, all of you unpaid volunteers, who take so much time out of
your professional and personal lives to be part of the effort. It goes well beyond the meetings that you
attend on campus and at our center. Thank you very much and I’ll take any questions.
Trustee Boey commented on Mike Malone’s important milestones from 1996 to present and thanked him
for all the successes that this university had through your good efforts.
Trustee Strauss continued to thank him for his service as well, and asked that he convey a message to
the Foundation Board that we also appreciate their service, have valued the opportunity to be able to
interact with them individually, and look forward to working on issues that are of mutual concern.
Trustee Marshall commented about Mike’s involvement at events and his leadership in the True North
campaign, to raise millions of dollars, and his success.
Trustee Coleman commented on Mike’s efforts to make a difference and, as a result, the impact to this
institution and his passion for this university
Chair Butler thanked Mike also and added that, recently, he attended several events in Mike’s honor, held
by his peers and the stakeholders of the Foundation, showing their appreciation for him, which speaks
loudly of his passion and commitment to NIU.
k. Northern Illinois Alumni Association
Associate Vice President of University Advancement and Executive Director of the NIU Alumni Association,
Joseph Matty reported that he was excitement about the opportunity we have in front of us. Six new
board members were elected at the most recent board meeting of the NIU Alumni Association. Five
board members will be going out and six coming in. These are all distinguished alumni and individuals
who represent a variety of fields. With the election of Catherine, both the Foundation and the Alumni
Association leadership positions will be held on the staff side, and the volunteer side will be alumni for
the very first time. Dennis Barsema and Catherine, on the Foundation, and Jack Patronski and myself on
the Association side. This Board, which is appointed by the governor, does not necessarily have to have
alumni on it. Yet if you voted along alumni lines, alumni would win on this Board; that’s not true on all
sides. The institution is being led by alumni. Last night we had NIU Night at Sox Park. Two individuals
who oversee the maintenance and operation of that facility, Manny Sanchez and Jeff Yordon, are alums.
Harlan Teller, Brad Hoey and myself – alumni – helped orchestrate that evening, where we have a large
presence of engaging potential students and current students. The first pitch was thrown out by a soon
to be alum and a person who has been on TV because of her work, and her colleagues work, in the
College of Engineering. We have excitement and opportunity in front of us. For the first time in a while,
alumni are starting to put their shoulders back a little bit more. In the business community in Chicago,
Crain’s Chicago Business, for the second time in three years, named an alum’s company one of the
fastest growing. So, in this town right now, people are talking about the “dynasty” word; two times in
three years, best business in Chicago going to an NIU alum; you do the math. There is much excitement
that we have and there is a lot of opportunity.
Mr. Matty continued, our alumni board is also supportive of what you are doing. Like Mike stated earlier,
the Alumni Association is 28 volunteer board members. They get paid zero dollars and do this because of
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their passion and love for their alma mater. You all know what it’s like to sit at a meeting at 6:00 a.m.,
have very delicious breakfast, go to meetings all day, and do it because you love it; and, that’s what our
alumni are doing. We engaged over 30,000 alumni in the calendar year last year. That means that we
have 30,000 engagement opportunities. We’re collecting data on them; we’re communicating with them,
and we’re doing this on behalf of NIU. So we look forward to the continued work and the partnership
between the Board of Trustees, the NIU Foundation, and the NIU Alumni Association.
The one last part I’d like to leave with you is this: our membership is up in the Alumni Association. A few
years ago when we started doing a strategic exercise on what our next goals would be, membership was
one, expanded Chicago office was one, tool for evaluating effective operations was another. In this next
six months, we’ll be conducting an exercise on how to look and grow for the next five to six years as an
organization. This is an opportunity for us to chart the future for our organization and to be a partner to
the university. We’re looking forward the findings and our research will be shared with you. Leading the
push will be Peter Burchard, Rita Athas, and Bob Gallagher, along with former president Francine
Pepitone, our current chair Jack Patronski; helping us look at how we can continue to increase the
involvement of alumni, improve the reputation, and enhance what feel is strong. Our alumni are leaders
and we have our faculty to thank for them. Our students, as great as they are, need that guidance. With
that being stated, if there are no questions that will conclude my report.
l.
Northern Illinois Research Foundation
Interim Vice President for Research and Innovation, Gerald Blazey reported that, on May 18, 2015, the
Northern Illinois Research Foundation met at NIU Hoffman Estates. Due to the departure of Dr. Leslie
Rigg and the transition of Ms. Shyree Sanan to the Acting Controller position, we need some change in
leadership, and I was pleased to be voted in as the president, and I was equally pleased to see that Dr.
Alan Phillips agreed to serve as interim treasurer.
Vice President Blazey continued, after my first meeting and just a few months working with NIRF, I see
that it’s in fact an important partner to the Division of Research and Innovation partnerships. They’ve
helped us in a number of areas including tech transfer and helping us with EIGERlab. We had a number
of updates at the meeting. Dr. Rena Cotsones updated the directors on the status of EIGERlab and the
EIGERlab Innovation Network, as well as our connection with the Digital Manufacturing and Design
Innovation Institute. Dr. Rigg updated the board on recent transaction in the Technology Transfer Office
including the prosecution of nine patents over the last year. That’s a considerable number for NIU and it
certainly is an upward trajectory; and, we’re hoping to keep that moving in a positive direction. Since the
NIRF/NIU master IP agreement was finalized last fall, two faculty members in Intellectual Property have
been assigned to NIRF, and that’s an example of how NIRF and the division are working in a profitable
partnership. Two faculty members are currently involved in a Chicago innovative mentors program and
that shows there is great interest in our faculty’s work in the innovation community in Chicago. Provost
Freeman closed the meeting with comments on efforts to develop a campus innovative ecosystem for our
faculty and alumni and students. That’s all somewhat nascent and I hope in the future to give you
positive reports and more definite information on how that ecosystem development is underway. The
next board meeting is scheduled for Thursday, September 10, 2015, in the fall.
8. PRESIDENT’S REPORT NO. 98
UNIVERSITY RECOMMENDATIONS FORWARDED BY THE BOARD COMMITTEES
Chair Butler called for a motion to approve the items in President’s Report 98 that were approved to be
considered as part of the consent agenda. Trustee Strauss so moved and Trustee Coleman seconded the
motion. The motion was approved.
Agenda Item 8.a.(1) – Recommendation for Faculty Promotions, Tenure, and
Promotions with Tenure for 2015-16
President Baker began with the recommendation for faculty promotions, tenure, and promotions with
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tenure for 2015-2016. Trustee Boey made a motion to approve and Trustee Coleman seconded. Chair
Butler added an additional comment of congratulations and noted it’s an honor to participate in this
process. The Board has this final vote that we take and it’s very important, far more than just symbolic,
and congratulations to the faculty who are being tenured and/or promoted. There was no opposition and
the motion was approved.
8.a.(2) – Recommendation for Change in Degree Designation – Consent Agenda
8.a.(3) – Oral English Proficiency Report - Consent Agenda
8.a.(4) – Overview of On-Going Fiscal Year 2016 Budget Preparations/Preliminary
Fiscal Year 2016 Internal Operating Budget Interim Approval
President Baker continued with the overview of on-going fiscal year 2016 budget preparations and our
preliminary fiscal budget. This is interim approval for our operating budget. There’s clearly a great deal of
uncertainty about the budget right now given what’s going on in Springfield. This is our current estimate
which represents a $29.3 million reduction. We’re still looking to the General Assembly to see when the
budget process might conclude and at what level it might conclude. This is a significant reduction. It’s
one that we’ve been planning for. The vice presidential areas are all working on scenarios and we have
action plans to move forward. Given the revenue and expense uncertainties related to appropriations,
enrollment projections, and potential retirements because of the SURS situation, we believe this reflects a
strategic repurposing of our assets and allows us to balance the budget and move forward. I would ask
for approval of this interim operating budget. Trustee Strauss motioned and Trustee Julion seconded.
The motion passed.
8.a.(5) – Fiscal Year 2015 Student Accident and Sickness Insurance Contract
Addendum
President Baker indicated the next item is the 2015 student accident and sickness insurance contract.
This is a $7.7 million dollar contract and is pass-through money. The figure was based on existing rates
and estimated student usage. The university requests the Board of Trustees approval of expenditure
authority for this pass-through of $630,000 to align the flow-through dollars with that actually recovered
and due to the insurance company. Trustee Strauss so moved and Trustee Marshall seconded.
Chair Butler asked for a roll call vote. Ms. Odom performed a roll call.
Trustee Robert Boey: Yes
Trustee Wheeler Coleman, Abstain
Trustee Anthony Iosco: Absent
Trustee Robert Marshall: Yes
Trustee Cherilyn Murer: Absent
Trustee Paul Julion: Yes
Vice Chair Marc Strauss: Yes
Board Chair John Butler: Yes
8.a.(6) – Intercollegiate Athletics Fiscal Year 2016 Secondary Student Health
Insurance Contract Renewal
The next item was the intercollegiate athletics fiscal year 2016 secondary student health insurance
contract renewal. This is another insurance item but for our varsity athletes. It covers accident claims for
student athletes for athletic-related illnesses and injuries. This is a secondary insurance policy that’s
required. It’s unique and specific for NCAA members with a master policy form negotiated on behalf of
schools in accordance with NCAA regulation. This FY16 approval amount is for the NCAA group basic
accidental medical program insurance plan, administrative fees, aggregate deductible claims coverage,
available exclusively through Summit America, Ascension and Mutual of Omaha’s agent claims. It’s the
renewal of the second year of a nine year series of one year contracts. So we’re going into year number
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two of a nine year contract. This is a one-year renewal that we come back each year to for and the
amount is for $315,000 and we ask for Board approval. Trustee Strauss so moved and Trustee Marshall
seconded. The motion passed.
8.a.(7) – Intercollegiate Athletics Fiscal Year 2016 Air Charter Services for Football
Team - Consent Agenda
8.a.(8) – Oracle and PeopleSoft ERP System Annual Maintenance Renewal - Consent
Agenda
8.a.(9) – Division of Information Technology Fiscal Year 2016 Blackboard Software
Licenses - Consent Agenda
8.a.(10) – Waste Management and Utilities – Fiscal Year 2016 Solid Waste Removal
and Recycling at NIU DeKalb Contract Renewal - Consent Agenda
8.a.(11) – Resolution to Endorse Program Prioritization Initiative
President Baker indicated that the next item is the resolution to endorse program prioritization. At the last
Ad Hoc Committee on Enrollment, Provost Freeman concluded her two-part discussion of program
prioritization. We need to look at our revenues and expenses, and allocate our revenues, to the highest
need. This is a process, an inclusive process, that puts more faculty and staff input into that process and
there’s a resolution I’ll briefly read here which says in the second paragraph, “The Board of Trustees
resolves that the program prioritization process is a thoughtful process informed by research and best
practices. The Board has faith in the NIU leadership team responsible for program prioritization to make
necessary adjustments throughout the process in order for the process to be effective at NIU. The Board
endorses this process as a strategic measure to identify and direct resources in a way that will provide
the most benefit for our current and future students. For these reasons, the Board is interesting in
receiving updates on the process as deemed necessary by Executive Vice President and Provost Freeman
and requests the president forward a resolution by means of the President’s Report to the Board of
Trustees for approval at the next board meeting.” That’s what we’re doing here today. I do request and
thank the Board for this endorsement of program prioritization. It think it’s an important step in our
evolution as an institution in becoming financially sustainable. Trustee Strauss made a motion and
Trustee Boey seconded
Discussion continued with Trustee Strauss commenting on his endorsement of the initiative. He indicated
that he is looking forward to the data that will be generated from this and also was encouraged that it
was anticipated that we would learn lessons going through this process which wouldn’t be singular, so
that, in the event that there were modifications that would be required when we next revisit this, that
would be part of the program. With no future discussion, the motion was approved.
UNIVERSITY REPORTS FORWARDED BY THE BOARD COMMITTEES
Agenda Item 8.b.(1) – Search Progress and Future Searches FY16
President Baker moved to section 8.b with two information items that were not on the consent agenda.
The first item concerned the progress of searches and future searches. President Baker asked Executive
Vice President and Provost Freeman for an update. Provost Freeman indicated we are in the final stage
of negotiations with a candidate for Chief Diversity Officer and Senior Associate Vice President for
Academic Diversity and we hope to have an announcement soon. Continued searches include Senior
Human Resources official and next fall we will begin searching for four academic deans for the colleges of
business, education, law and visual and performing arts. Please note we also have vacancies with
temporary appointments in the positions of Senior International Officer and Vice President for Research
and Innovation Partnerships.
Chair Butler asked if the process and criteria used for searching and appointing an interim Dean of the
Law School will be used in the dean’s searches or if this process will be unique to the position. Provost
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Freeman replied, for permanent appointments the guidelines for search and appointment of academic
officers at the level of dean are in NIUs Constitution and Bylaws. Some of the colleges have additional
suggestions, or requirements in their bylaws. In preparing to search for the four deans, Vice Provost for
Faculty Affair, Murali Krishnamurthi, has requested from all of the current academic officers, the colleges’
constitutions and bylaws. We’re aligning those with the NIU Constitution and Bylaws and then also
soliciting input in a consultative fashion to make sure that each of the search committees for the
academic deans have appropriate representation from faculty, students, staff, alumni, and other potential
external stakeholders. We will pick an executive search firm to facilitate or assist with those searches,
one that has a proven track record in that area, an appropriate history of collaborating with public
universities such as NIU so that we can identify and bring in the best candidate pool. In terms of the job
descriptions, we look at the previous position description on file or the last leadership profile that was
created for the dean’s search. The position description will be updated if needed and will go to the
search committee for revision before a search is launched.
8.b.(2) – Semi-Annual Progress Report of Active Capital Projects - Consent Agenda
8.b.(3) – Quarterly Summary Report of Transactions in Excess of $100,000 Consent Agenda
8.b.(4) – Periodic Report on Investments - Consent Agenda
8.b.(5) – State Legislative Update
President Baker remarked, as we all are reading in the newspapers, we have not reached a resolution.
There are clear fault lines. There’s a struggle and a tug and war going back and forth with very different
visions for the state and its fiscal future. Higher education continues to work aggressively, talking with
legislators and those in the governor’s office. We’re doing that collectively and individually, but we are a
piece of a much larger play that’s underway right now. Mike Mann attended hearings this week and will
give an update.
Mike Mann continued, as you all know, in late May, the General Assembly passed a series of budget bills
for FY16. Included in those budget bills is House Bill 4148 which was approved by the House and also by
the Senate which appropriates $85.2 million dollars to NIU for FY16. That would reflect an 8.6 percent
reduction from the original appropriation we received in FY15, and it reflects a 6.5 percent reduction from
our revised appropriation for FY15. Currently, those budget bills have not been presented to the governor
for his signature. The legislature is waiting until some compromise positions have been reached on the
governor’s turn-around agenda and, at this point, there is no timeline, or really update, that can be given
on when that might occur. As President Baker mentioned, the House and Senate were both in session on
Tuesday. In the Senate, the Senate held a series of affordability hearings where the executive director
from the IBHE and others were asked to testify regarding issues such as the value of higher education,
the importance of state investment of higher education, and the need for institutions to become more
efficient. These open hearings are scheduled on every Tuesday for the remainder of the session. It does
not appear that the rank and file members at this point are working on the budget negotiations. Those
discussions are occurring at the leadership levels. One final comment on the operation budget. The
budget approved by the General Assembly and not yet forwarded to the governor is anywhere from three
to four billion dollars out of balance, and there are indications that if this budget were passed that the
first action that the governor’s office of management and budget would consider would be a 20 percent
across the board budget reduction to bring that out-of-balance budget back into balance. That is why the
budgets have not been forwarded to the governor. On the capital side there’s no better news to report.
There’s been no capital budget passed either. There were no discussions about capital projects moving
forward. The problem, however, is without a capital budget there have been no re-appropriations
approved either, so construction on on-going capital projects will cease on June 30th. The Capital
Development Board is sending out letters this week to contractors ordering them to halt work on June
30th and secure their sites. This impacts 104 projects state wide and here on campus it affects our
Stevens Hall project.
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Trustee Strauss asked about the potential impact on the Stevens Hall project. Have we been able to
analyze what the impact would be of a cessation of that construction project at the end of the month and
whether their might be any steps to preserve the construction and its state at that time that we should
be cognizant of here?
Vice President Phillips responded, we actually had a conversation with the Capital Development Board
today and had a series of questions associated with exactly your concerns. We have not yet received
answers back. There are timelines associated with this. There are site security issues. This also applies to
anything that’s currently being manufactured in support of a project. That also has to cease. We have a
number of questions in to CDB and we’re working through this. I don’t recall that this has ever happened
before. CDB staff told me on Tuesday, in the State of Illinois, this is unprecedented. There have been
situations in the past where there have been payment delays, but there has never been a work
suspension in this magnitude. CDB staff is fully aware that this is prime construction season and this will
result in costly delays as well as inconvenience but at this point I was told there’s no grey area here;
June 30th is it. Had construction continued, we would reach substantial completion on or about midDecember with project completion in early March. While this does create an issue and a problem, and we
certainly have classes scheduled for next fall, the hope is that this will be resolved, the project can
continue in enough time to have it ready for the fall.
Mike Mann continued with a closing comment on the operating budget. I’d like to point out that all of the
institutions have been cut in an across-the-board equal manner. This is slightly different than what we’ve
seen in the past three or four years where the implementation of performance funding has resulted in
some variances in the reductions. The General Assembly, at least in this go round, has abandoned for
now that rationale and that formula, and has gone with an across-the-board methodology.
President Baker added, the range of cuts we hear is roughly from 6 ½ percent to the 31.5 percent, and
we have both those on the table; one from the legislature and one from the governor. Now the
negotiation is in-between, and it’s ultimately going to be based on how much cutting and how much
revenue enhancement occurs. Those in higher education are hopeful that it’s going to be much closer to
6 percent than 30 percent. Vice President Phillips has done cash flow modeling and it appears that we
can go on for a significant amount of time and keep the university open. We need to continue for our
students and to support our faculty and staff and their good work and continue to pay them. We are
going to continue operations and we’ll see how long this plays out in Springfield.
8.b.(6) – Federal Relations Update - Consent Agenda
ITEMS DIRECTLY FROM THE PRESIDENT
Agenda Item 8.c.(1) – Authorization to Retain Executive Search Firms for the
Appointment of Specific Dean Level Positions
President Baker indicated that this item deals with the authorization to retain executive search firms for
the appointment of specific dean-level positions. As Provost Freeman noted, the four dean positions will
likely need to use search firms and we need approval of the Board to authorize me, in conjunction with
Provost Freeman, to select an executive search firm for the searches for Business, Education, Law and
Visual and Performing Arts. We will report back to the Board regarding the selection and the status of
those searches, so we ask for approval. Trustee Boey so moved and Trustee Strauss seconded the
motion.
Trustee Coleman asked if the list of executive search firms includes diversity firms or minority firms.
Provost Freeman responded yes. Trustee Coleman added that, since we’re doing so many, my
assumption is that we will make sure that we’ve got a good mixture of diversity as part of the selection
process. Provost Freeman addressed the question, noting that there are minority-owned business as part
of the list of search firms that are pre-selected by Illinois Public Higher Education Consortium, and we
also have a process for recognizing those firms if an RFP process is used to select an executive search
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firm. One of the reasons for using a search firm that’s in compliance with our Board of Trustees policy is
that we want to enhance the quality of the candidate pool through the use of an executive search firm. I
believe diversity is a dimension of excellence and, if we’re going to have an excellent candidate pool,
we’re going to have a diverse candidate pool. In fact, an executive search firm who has a network, who
has the ability to make confidential calls to people sitting in positions, is a great help in building that type
of pool regardless of the position being filled, and it would certainly be true in the case of these open
deanship positions. With no further discussion and the motion was approved.
8.c.(2) – Appointment of Acting Dean, College of Education
The next item, noted President Baker, is the appointment of Acting Dean for the College of Education.
We bring forward today Laurie Elish-Piper and are asking to transition her into the Acting Dean of the
College of Education role on July 1. She’s a Distinguished Teaching Professor, and a Presidential
Engagement Professor in the Department of Literacy and Elementary Education. She teaches graduate
courses in literacy assessment and instruction, adult literacy, and literacy research. She’s been the
Director of the Jerry L. Johns Literacy Clinic and Co-Director of the Center for Interdisciplinary Study of
Language and Literacy. She has a national reputation that is very positive. She’s the Interim Chair for the
department, has been the Interim Chair for the Department of Literacy Education and the Presidential
Advisor on College and Career Readiness. She’s also been very active working with Joe Matty and Eric
Weldy putting together an internship and mentoring program this year across the university, and she’s
also lent her expertise to our P20 initiative that’s building pipeline relationships from K12, community
colleges, into us, and then ultimately employers. She’s an impressive person. Unfortunately she was
unable to attend today, but she’s a very experienced person that has the enthusiastic support of her
faculty, the Provost and myself. So we would ask for approval of Dr. Laurie Elish-Piper as the Acting Dean
for the College of Education. Trustee Julion made a motion and Trustee Boey seconded.
Trustee Boey asked for clarification on the term acting dean and if this person could be selected and
permanent dean later? Provost Freeman responded, when we use the word “interim” to qualify a
temporary appointment, it implies that the individual in that appointment will not be seeking the
permanent role. When we use the word “acting,” it suggests that the individual is open to being a
candidate for the role and will have that opportunity to apply in the context of the national search. With
no other discussion the motion passed.
8.c.(3) – Proposed Amendments to the Board Regulations Regarding Tuition
President Baker indicated this is an amendment to the Board Regulations regarding tuition remittance
programs for the Ph.D. in Health Sciences. This is the new interdisciplinary Ph.D. in Health Sciences and
it requires a new type of employee waiver to make it a viable program. Provost Freeman added this item
was brought before the Board as an information item on March 12, 2015, to set the stage for future
discussions. The interdisciplinary Ph.D. in Health Sciences, which the Board has approved previously and
which has gone through the IBHE process, is a very exciting and contemporary program in our College of
Health and Human Sciences. It’s a doctoral program that transcends the departmental borders and offers
the possibility for very different types of degrees to be accommodated. You could have a classic
doctorate, somebody working in a research lab funded by a grant awarded under this, but we really
envision it for the more exciting, more contemporary opportunity or having working professionals doing
community action-oriented research or looking up problems relevant to their employers needs funded by
their employer as part of the program. So we could have people working many different places in and out
of the State of Illinois in this program. We wanted our NIU employees to have the same type of
opportunity, with the employer paying the tuition. Because it’s a new type of benefit, it requires change
to the Board Regulations. When I brought this to you in March, I agreed that we would have broader
campus conversations and we’ve had those with individuals representing the operating staff councils,
different academic departments, and we’ve started to recognize that, in addition to having the employer
payment with the work requirement which is pretty typical of health professional doctoral programs these
days, we would also have to create some other mechanisms to make sure that there’s adequate
opportunity for people to be supported in this program in ways that benefit NIU, and those could take the
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form of different types of scholarship arrangements. The change in the Board Regs that you’re looking at
here today was drafted by General Counsel Brady to be an enabling change in the existing bylaws so that
we could then go forth and have additional conversations about specific mechanisms with academic
departments and with the operating staff and SPS Councils.
Trustee Strauss asked to clarify, if we don’t yet have the fully developed contours or the actual program,
what is being requested today is the fundamental authority to be able to conclude the balance of those
arrangements. Provost Freeman responded, we will be essentially limiting waivers and creating
alternative mechanisms of tuition remission and scholarship possibilities. Those have not been designed,
approved, discussed at a level or ready to present to the Board, but to have those discussions, this
change is recommended.
Trustee Strauss clarified, the intention would be to involve further discussion through the shared
governance process again? Provost Freeman responded, absolutely, and we see this not only in terms of
shared governance – employees, students and faculty – but we know that they’ll be specific partnerships
in and outside the university who we may want to accommodate with the framework that we build.
Trustee Strauss continued, my request would be not to change anything in the proposed language in the
regulation, but that after there’s enough time to be able to figure out whether this program is one that
you’ve been able to implement, you come back and let us know how it’s going since this may be
precedent setting and there could be other applications for this. I think it’d be useful for us to hear how
it’s developed in practice. Provost Freeman agreed. With no further discussion, the motion passed.
9. CHAIR’S REPORT NO. 71
9.a. – Closed Session Minutes Review and Release
Chair Butler indicated the first item on the agenda concerns the review and release of closed session
minutes. The Illinois Open Meetings Act requires the semi-annual review of minutes of each executive
session business to determine what parts of the minutes should be made available to the public because
they no longer require confidential treatment. The action item recommends no additional release for
confidentiality of any previously unreleased sections of the executive session minutes at this time and
that we consider these sections and sections from subsequent meetings again in the near future. Trustee
Strauss made the motion to approve and Trustee Marshall seconded.
Chair Butler added for point of clarification and so that the Board is aware of the substance of the
motion. In effect, Mr. Blakemore indicated, you will not change the status of these minutes, the subject
matter minutes, and it is upon my recommendation that they remain closed minutes. An example of
when the board would disclose closed minutes would be if you went into closed session for example on a
real estate matter, and the Open Meetings Act allows the Board to go into discussion on a real estate
matter if it’s a purchase of real estate, and then you actually made that purchase; then you would then
take the closed provision off of those minutes and release them to the public after the purchase. So that’s
what this is about. Nothing like that has occurred, therefore my recommendation is and what you would
be voting on is to keep the minutes in their status as closed. The motion passed.
BOARD GOVERNANCE PROPOSALS
9.b.(1) – Proposed Updates to Board Bylaws Regarding Public Appearances Before
the Board
Chair Butler indicated in the report I provided for the Ad Hoc Committee on Governance, the Board took
action at its Special Meeting of May 28, 2015, to initiate a policy making endeavor addressing several
interests related to presidential and Board contracting. I indicated then that the Board’s Ad Hoc
Committee on Governance would meet before this Regular Board meeting and attempt to draft suitable
recommendations that, in the committee’s view, adequately responded to those interest areas. The
recommendations you have before you were originally drafted and proposed for committee consideration
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by the Office of the General Counsel, and the committee offered input at its meeting on June 15, 2015.
First I’ll ask that we consider item 9.b.1. which are proposed updates to Board Bylaws regarding public
appearances before the Board. This is a proposal to amend the Board Bylaws and, as such, we’re
receiving it for a first reading today. May I have a motion to accept the revised policy for a first reading?
Trustee Strauss made a motion and Trustee Julion seconded.
Chair Butler added, in terms of discussion, let me start by reminding the Board that individuals spoke to
the Board at its March regular meeting concerning aspects of our existing policy that were inconsistent
with rulings by the State’s Attorney General’s Office. Mr. Blakemore, may I ask that you provide some
preliminary remarks about this revised policy?
Mr. Blakemore responded, there was a ruling on the part of the Attorney General that was not with
respect to NIU, but to other public bodies, where the requests in our procedures did have such language
where there were requests for information like addresses and the like. What we have done here is taken
out all of the information that the Attorney General has indicated is not relevant. Our proposal allows for
any person, irrespective of their position either within or outside of the university, to have an opportunity
to speak. By taking out the language which had not been used by this Board for several meetings, since
this issue was brought to our attention, we have now have taken out the language that at least, on
paper, would have said to the public that we’re requesting information that wasn’t relevant to the
discussion.
Chair Butler commented, this is a first reading. We could entertain a motion to suspend the second
reading requirements. That would require a vote of every trustee present at this table if that’s an interest
of the trustees. Trustee Strauss responded, I think we should take a vote first on the first reading and
then, if somebody wants to make a motion regarding the waiving of the second reading requirement, we
could do that. Chair Butler asked, all those in favor of this revised policy for first reading? The motion
passed.
Trustee Strauss made a motion to waive the second reading requirement in our Bylaws regarding this
proposal and to take action on this policy revision today. Chair Butler added, that motion requires six
votes of the trustees, otherwise we will not act on this revision until we meet again as a Board. Trustee
Marshall seconded the motion.
Chair Butler asked for roll call vote to suspend the second reading:
Trustee Robert Boey: Yes
Trustee Wheeler Coleman: Yes
Trustee Anthony Iosco: Absent
Trustee Robert Marshall: Yes
Trustee Cherilyn Murer: Absent
Trustee Paul Julion: Yes
Vice Chair Marc Strauss: Yes
Board Chair John Butler: Yes
Trustee Strauss made a motion to approve the proposed update to the Board Bylaws regarding public
appearances before the Board on its second reading. Trustee Boey seconded. With no further
discussion, the Board voted to adopt this revised policy.
9.b.(2) Proposed Updates to Board Bylaws Regarding Duties and Responsibilities of
the President
Chair Butler indicated that this item considers proposed updates to Board Bylaws, in this case regarding
the duties and responsibilities of the president. This is also a proposal to amend the Board Bylaws. As
such we’re receiving it today for first reading. May I have a motion to accept the revised policy for first
reading?
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Trustee Strauss made a motion and Trustee Marshall seconded. The motion passed.
Trustee Strauss made a motion to suspend the rule requiring a second reading with regard to the
proposed updates regarding duties and responsibilities of the president. Trustee Marshall seconded.
Chair Butler asked for roll call vote to suspend the second reading
Trustee Robert Boey: Yes
Trustee Wheeler Coleman: Yes
Trustee Anthony Iosco: Absent
Trustee Robert Marshall: Yes
Trustee Cherilyn Murer: Absent
Trustee Paul Julion: Yes
Vice Chair Marc Strauss: Yes
Board Chair John Butler: Yes
Trustee Strauss made a motion to approve on second reading the proposed updates to Board Bylaws
regarding duties and responsibilities of the president. Trustee Boey seconded. The motion passed.
9.b.(3) – Proposed Updates to Board Regulations Regarding Retention of
Consultants by the President and Board; Presidential Obligations to the Board
Regarding Statute, Regulations or Policy; Sound Management Practice; Personnel
Actions; and Procurement Matters
Chair Butler indicated that the final item in this category, under 9.b.3., consists of proposed updates to
Board Regulations regarding retention of consultants by the president and the Board, presidential
obligations to the Board regarding statutes, regulations or policy; sound management practice; personnel
actions; and procurement matters. These are amendments to the Regulations to the Board of Trustees
and may be adopted today I believe by a majority vote. May I have a motion to adopt these
amendments? Trustee Strauss so moved, Trustee Boey seconded. The motion passed for policy change
to the Regulations.
Trustee Iosco joined the meeting and is indicated as present.
9.c. – Resolution Honoring Student Trustee Paul Julion
Chair Butler noted the next item is an opportunity to honor one of our own who will be serving for the
rest of this month is the student trustee. It’s always a privilege to honor the student member of this
Board. With almost no exceptions, the student trustee is an equal to his or her peers on this Board. The
student trustee is more of a sprinter than a long distance runner, an individual who has precious little
time to learn an awful lot about the operations and political dynamics of the university and its governing
board. He or she only has seven colleagues, but it is still a challenge to become acquainted and establish
a collegial relationship with all of them and hit the ground running in a very short period of time. Before
he or she knows it, the term of the student trustee is over. As a Board we celebrate and honor not
merely the achievements of our student colleague over the course of a year that he or she has served,
but also what is often an impressive record of service in student government, as the student trustee is
the highest level of student leadership within the university’s shared governance structure. Paul Julion
has been an exceptional exemplar of student leadership, and, today, Paul, your Board colleagues wish to
honor you with a resolution. Trustee Julion will remain in his position until the end of the day, June 30th,
at which point the student trustee elect Raquel Chavez will become the new student trustee. So Paul,
once I’ve read this resolution, if you wish, you may make some remarks and then I will entertain a
motion to adopt the resolution and your colleagues may wish to make some remarks as well.
Will you please join me at the podium? Chair Butler then read the resolution honoring student trustee
Paul Julion.
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June 18, 2015
RESOLUTION
HONORING
STUDENT TRUSTEE PAUL JULION
WHEREAS, Paul Julion has faithfully served as a student member of the Northern Illinois University
Board of Trustees for one term from July 1, 2014 through June 30, 2015; and
WHEREAS, prior to his election as Student Trustee, Paul served as a Northern Lights Ambassador for the
College of Education, a Student Senator from 2010 through 2012 and as the Director of Athletics &
Recreation for the NIU Student Association from 2012 through 2014 where his advocacy for the
completion of the outdoor recreation complex was instrumental; and
WHEREAS, as a member of the Board of Trustees, Paul contributed valuable insight and information
regarding the student perspective on the rising cost of tuition, maintaining NIU’s affordability despite
state fiscal constraints, and ensuring a vibrant future for recreational wellness as an integral part of
student life.
WHEREAS, Paul served as an active and engaged member of the Ad Hoc Committee on Governance;
the Ad Hoc Committee on Enrollment; the Academic Affairs, Student Affairs and Personnel Committee;
Legislative Affairs, Research and Innovation Committee; the Finance, Facilities and Operations
Committee; and, the Compliance, Audit, Risk Management, and Legal Affairs Committee; and
WHEREAS, Paul accompanied President Baker and other student leaders to the state Capitol to appear
before the Illinois House higher education appropriation committee to provide a student’s perspective
on the importance of state funding support for Northern Illinois University; and
WHEREAS, Paul joined several of his Board colleagues and members of the University Leadership team
at the Association of Governing Boards (AGB) workshop held in Chicago to participate in sessions
geared toward strengthening board committees and best practices related to committee structure; and
WHEREAS, we, as his colleagues on the Board of Trustees, want to express our appreciation for Paul’s
service to the NIU students and community, and regard for his upcoming completion of a Bachelor of
Arts in Physical Education in Fall 2015; and
NOW, THEREFORE, BE IT RESOLVED that the Board of Trustees of Northern Illinois University in
formal meeting herein assembled, extends its grateful appreciation to Paul Julion for his leadership and
service to Northern Illinois University students and the Board of Trustees.
BE IT FURTHER RESOLVED that this RESOLUTION be presented to Paul Julion and a copy of this
document be placed in the official files of the Board of Trustees as part of the permanent record of the
university and the great State of Illinois and as a lasting tribute to the accomplishments of Paul Julion.
Adopted in a regular meeting assembled this 18th day of June 2015.
BOARD OF TRUSTEES OF
NORTHERN ILLINOIS UNIVERSITY
John Butler
Chair
Wheeler G. Coleman
Secretary
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June 18, 2015
Trustee Julion responded, thank you. That was a great, I’m kind of at a loss of words. This was probably
the fastest year of my life. There’s a lot of work done as well. Honestly, I’m really humbled at this
moment. All the students that voted for me, to put me in this position that I was so grateful for, and all
the trustees who’ve helped me and taught me a lot throughout this experience, has been monumental to
my college experience; and, thank you all for all your service. Hopefully, I could be a trustee in the future
and not just a student trustee. Thank you so much.
Chair Butler called for a motion to approve the resolution. Trustee Strauss so moved and Trustee
Coleman seconded.
Trustee Marshall added, the word “student trustee” has more than one meaning. I’m going to add
another meaning to it, and that is that Paul you “taught” a number of us, and I thank you.
Trustee Iosco noted, Paul I’d just like to say good luck and keep up the great work. All the best to you in
the future sir.
Trustee Coleman continued, Paul best of luck. We hope that you’ve learned a lot. We know that you have
made a difference on this Board. We appreciate your service and your support and we wish you the best
in the future. Thank you.
Trustee Boey responded, Paul you fit right into the tradition of student trustees and we have seen some
very good ones; and, you’re right among them. Best wishes and a successful career.
Chair Butler added, Paul I’ve already said a good deal about your role and the fact that you’re an
exemplar in this role. You had big shoes to fill because you replaced a student trustee who had been in
office for two terms and you certainly proved that you were up to the task. A lot of the work of the
student trustee goes unseen by the public because much of the work occurs in conversations. There’s a
lot of phone calls; there’s a lot of dinners and lunches; and things where a lot of the things that you see
here in front of you get worked out. Paul has been a wonderful partner for us. I am particularly fond of
the role of student trustee because, as many of you know, I was the student regent when NIU was then
governed by the Board of Regents, and I served two terms. We didn’t have a vote, though so we just
had to yell really loud. Thank you. Chair Butler called for a vote and the motion passed.
9.d. – Fiscal Year 2016 Election of Board Officers and Civil Service Representative
Chair Butler indicated that Board of Trustees Bylaws and NIU law requires the election of officers
annually. As such, we shall today elect a Board Chair, Vice Chair, Secretary, Fourth Member of the
Executive Committee, and a representative to the Illinois Civil Service Merit Board. The Northern Illinois
University law requires that the Board elect annually by secret ballot, from their own number, a Chair
who shall preside over the meetings of the Board and a Secretary. The General Counsel has shared with
us an Attorney General ruling from the State of Illinois, a binding opinion that appears to require public
bodies to conduct elections in such a manner as to have an open vote that informs the public of each
member’s vote. Our Bylaws call for the election of a Board Chair, a Board Vice Chair, a Board Secretary, a
Fourth Member of the Executive Committee, and a Board representative to the University Civil Service
Merit Board. Ballots for each of these elections will be distributed to each Board member by the General
Counsel.
We will begin with the position of Chair and work our way through the positions in the order that I have
stated them. Mr. Blakemore has prepared ballots which contain the names of all members of the Board
who are eligible for each position. A majority of the Board, or five votes, is required to elect an officer. If
a majority of votes cast is not achieved by one member for the office in the first balloting, I will explain
the procedures we will follow in such a situation.
Ms. Odom will distribute the ballots and Mr. Blakemore and Ms. Odom will tally the votes and report to
the Board whether a majority of votes have been cast for a member of the Board for each respective
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position. Once we have elected members to serve in each of these positions, Mr. Blakemore will certify
the election and I will officially announce the officers for the 2015/2016 term. Those elected will assume
their duties of their respective offices on July 1.
Before I ask Ms. Odom to distribute the ballots for the position of Cchair, our process permits and
opportunity for Board members to make public expressions of interest, vision or acknowledges of
willingness to serve in the position. Nominations are not required nor is any expression of interest, but
trustees may address the Board at this time if they wish in regard to this position. At this time then I will
ask each board member to vote their ballot for the office of Chair.
Trustee Iosco asked for clarification on whether or not an absent trustee is eligible for a position, and
then, secondly, if Mr. Blakemore can please explain for the audience the number of votes that are
required to put someone in office in light of the fact that one trustee is absent.
Mr. Blakemore responded, there’s nothing in the Board’s Bylaws that prohibit a member to be elected to
office that would require them to be physically present. In terms of the second question, the Bylaws
require a majority of the Board; it’s the full Board; the Board is eight; that majority is five. It is not a
majority of a quorum, so you could have a quorum of five, wherein you could have three which would be
a majority of that quorum and that would bind the Board. Your provision indicates that you have a
majority of the full Board. So it does not matter the number of trustees who are present; it would take a
majority of the full Board. So five votes are needed for the election of officers.
Chair Butler continued, the vote for Chair will be done by secret ballot as provided by state law. While we
are voting, I’ll explain that the next office that the Board members will cast a vote for is the Vice Chair.
The Vice Chair ballot will not be done by secret ballot based on the ruling by the Illinois Attorney General.
Each member will utilize the ballot that’s personalized for them. This will allow a public record of the vote
of each member, as is required by the Attorney General’s binding opinion. We won’t be announcing that
vote tally in this meeting, but it will be available to those who wish to see it. With the exception of the
office of Secretary, which is also mandated by NIU law to be by secret ballot, the remaining positions for
the election will be conducted in the same manner. The election for the office of Secretary will be done
by secret ballot as provided by state law, and the elections will proceed following this one separately for
each of the remaining elected positions with results announced after.
Mr. Blakemore announced, Mr. Chair, members of the Board, there have been sufficient votes to elect
Trustee Marc Strauss as Chair.
At this time the Board took a five minute break. Following that, the election resumed. Chair Butler
continued, we’re now voting for the position of Vice Chair. As I’ve indicated, this is not a secret ballot. We
won’t be announcing how each trustee voted, but those votes will be available to those who wish to see
them. Each of the ballots have the names of the trustees who are voting for this position and the names
of the eligible candidates.
Mr. Blakemore announced, Mr. Chair, members of the Board, for the office of Vice Chair, Trustee John
Butler has attained sufficient numbers of votes to be elected to the position.
Elections continued with collection of secret ballots for the position of Secretary.
Mr. Blakemore announced, Mr. Chair, members of the Board, Trustee Robert Marshall has received
sufficient numbers of votes to be elected to the office of Secretary of the Board.
Chair Butler asked for collection of ballots for the position of Fourth Member of Executive Committee
which is a public ballot.
Mr. Blakemore announced, Mr. Chair, members of the Board, Trustee Cherilyn Murer has received
sufficient number of votes to be elected to the position of Fourth Member of the Executive Committee.
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Elections continued with the position of Civil Service Merit Board representative which is a public ballot.
Chair Butler indicated that term limits do not apply to this position, noting that term limits are only for the
position of Chair, Vice Chair and Secretary; each of those positions are limited to two one year terms.
Mr. Blakemore announced, Mr. Chair, members of the Board, Trustee Robert Marshall has had sufficient
number of votes casted in his favor to be the Board’s representative to the Civil Service Merit Board.
Chair Butler announced the results of the election for 2015/2016 term as follows:
Marc Strauss – Chair
John Butler – Vice Chair
Robert Marshall – Secretary
Cherilyn Murer – Executive Committee
Robert Marshall – Civil Service Board
10. OTHER MATTERS
Chair Butler recognized the arrival of, and welcomed, State Representative Robert Pritchard, and asked if
Representative Pritchard would like to give some remarks on the situation in Springfield.
Speaker Rep. Pritchard: Thank you and let me begin by thanking all of you as members of the Board. You
carry a very important role in guiding this great university and I want to offer my services in working with
you to help make this university even greater, to overcome some of the challenges that we have before
us, and help more students achieve a great education that many of you have. And Paul, to you, again
thank you for your student leadership. Thank you for coming to Springfield and sharing some of the
impact that some of our policies have on higher education. I’m not sure what report you had earlier, so I
don’t want to be too lengthy or too redundant; but, I will mention that higher education has been on the
lips of a lot of us in Springfield this year. We have formed a Higher Education Legislative Caucus to try to
bring new discussion around the issues that have been really an issue for the last 14 years: how we’re
funding higher education, from a state perspective, and what assistance we’re able to give through the
Monetary Awards Program to students in need. We haven’t been able to make much progress, but I do
look for a brighter horizon. I think if we can get through some of the fiscal challenges our state is facing,
if we’re able to get our fiscal house in order to deal with a balanced budget, I think there will be
predictability in the budgets that are given to you, that you’re not going to have to worry about
rescissions as you’ve had to worry about in recent years, and you aren’t going to have to worry about
lower budgets that you’ve had to worry for just about every year in the last 14 years. But there are going
to be some real challenges in getting this fiscal house in order, and I think the next two years at least are
going to be very challenging. Right now we haven’t been able to have the adequate discussions that put
us on track to a balanced budget for FY16. I think the next few months are going to be very challenging
in that regard. I fully expect there to be no budget in place by July 1, and that there are to be some short
term fiscal pressures on trying to keep some of the critical services going, and other services are going to
have to take some degree of a lapse, period. I don’t want to see that. I certainly have not supported that
and have been part of a number of budgeting working groups throughout the entire spring where we’ve
been trying to come to some consensus and agreement across the partisan lines. That has not been
successful. But I think, just as you in making decisions that you make, the legislature has to make some
real compromises in the policies that we have, and to date we haven’t been able to do that. The
Governor came in with an indication from the citizens of Illinois that they wanted to see some different
policies in different directions. We’ve not been able to achieve those yet. When you put all of that
together in the mix, that’s some of the real short term challenges that we’re facing. But I do look for us
to get through that in the next few months. I do look for us to have a budget that will help us span this
transition period over the next few years. And after visiting with the Governor, I am confident that his
vision is to grow our economy, grow jobs, grow revenue, that will help sustain the higher education that
we want to offer our students and the kind of fiscal programs that will allow us to serve those most in
need. So that is the vision. I am committed to that. I am committed to helping support this university and
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June 18, 2015
I welcome your conversation at any time about the policies that we’re debating and how I can be a more
effective representative for you. Thank you.
Chair Butler thanked Representative Pritchard. It means a lot to us that you’re here. This is the right time
for you to come and join us. We are of course grateful for the work that you are doing. Thank you.
11. CLOSED SESSION
Chair Butler announced the Board will go into closed session and will reconvene in approximately 3
hours. There will be no additional business following the closed session, but indicated the Finance,
Facilities and Operations Committee has a special meeting this afternoon which will follow the closed
session. Chair Butler asked for a motion to close the public meeting to conduct an executive session to
discuss the following subjects authorized by the Illinois Open Meetings Act: personnel matters as
generally described under sections 2,C,1,2,3 and 21 of the Open Meetings Act; collective bargaining
matters as generally described under section 2C2 of the Open Meetings Act; litigation and risk
management matters as generally described under sections 2C11 and 12 of the Open Meetings Act.
Trustee Strauss so moved and Trustee Coleman seconded. Ms. Odom conducted a roll call.
Trustee Robert Boey: Yes
Trustee Wheeler Coleman: Yes
Trustee Anthony Iosco: Yes
Trustee Robert Marshall: Yes
Trustee Cherilyn Murer: Absent
Trustee Paul Julion: Yes
Vice Chair Marc Strauss: Yes
Board Chair John Butler: Yes
The meeting is now closed and will re-open at the conclusion of the closed session in approximately three
hours.
The Board adjourned for closed session at 12:00 noon.
The Board of Trustees of Northern Illinois University reconvened on June 18, 2015, at 8:55 p.m. Chair
Butler announced they were reconvening after the closed session and asked for a roll call.
Present: Trustees Boey, Coleman, Iosco, Marshall, Julion, Strauss, and Butler; Absent: Murer
12. NEXT MEETING DATE
The next regular meeting of the Board of Trustees is September 17, 2015.
13. ADJOURNMENT
Chair Butler asked for a motion to adjourn? Trustee Strauss so moved and Trustee Coleman seconded.
The motion was approved. Meeting adjourned at 8:58 pm.
Respectfully submitted,
Linda Odom
Recording Secretary
In compliance with Illinois Open Meetings Act 5 ILCS 120/1, et seq, a verbatim record of all Northern Illinois
University Board of Trustees meetings is maintained by the Board Recording Secretary and is available for
review upon request. The minutes contained herein represent a true and accurate summary of the Board
proceedings.
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June 18, 2015
Minutes of the
NIU Board of Trustees
Special Meeting of the
Executive Committee
August 6, 2015
CALL TO ORDER AND ROLL CALL
The NIU Board of Trustees Executive Committee was called to order by Chair Marc Strauss at 12 noon in
the Board of Trustees Room, 315 Altgeld Hall. Recording Secretary Kathleen Carey conducted a roll call
of Trustees. Members present were Secretary Robert Marshall, Vice Chair John Butler; Chair Marc
Strauss, President Doug Baker, Ex Officio. Not present was Trustee Cherilyn Murer. Others Present:
Deputy General Counsel Greg Brady, Board Liaison Mike Mann, Lisa Freeman, Greg Long
VERIFICATION OF QUORUM AND APPROPRIATE NOTICE OF PUBLIC MEETING
Deputy General Counsel Greg Brady indicated that appropriate notification of this meeting has been
provided pursuant to the Illinois Open Meetings Act. With a quorum present the meeting preceded.
MEETING AGENDA APPROVAL
Chair Strauss noted there will not be a closed session as indicated on the agenda and called for a motion
to approve the agenda with the deletion? Trustee Butler so moved and Trustee Marshall seconded. The
motion was approved.
APPROVAL OF MINUTES – MAY 28, 2015
Chair Strauss called for a motion to approve the minutes of the May 28, 2015 Executive Committee
Meeting of the Board of Trustees. Trustee Butler so moved and Trustee Marshall seconded. The motion
was approved.
CHAIR’S COMMENTS/ANNOUNCEMENTS
There were no comments or announcements.
PUBLIC COMMENT
Deputy General Counsel Brady reported that no timely requests to address the board had been received.
CLOSED SESSION
Closed session was canceled.
EXECUTIVE COMMITTEE REPORT
Agenda Item 7.a. – Presidential Legal Services
Chair Strauss presented the first item on the agenda. In accordance with Article 9 of the Board of
Trustee Bylaws, the president previously requested approval from the Executive Committee for
indemnification against reasonable expenses incurred in connection with the provision of separate legal
services by the firm of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, PC for presidential activities. Any
approval of the indemnification is subject to the scope of coverage the Executive Committee is authorized
to determine under the provisions of Article 9 of the board bylaws. On May 28, 2015 the Executive
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September 17, 2015
Committee of the board approved expenditure for this purpose at a level not to exceed $50,000.00 and a
request is now being made to increase the amount of that approved expenditure. The requested action is
that the Executive Committee approve the expenditure of funds for the indemnification of separate legal
services to the president. The request relates to matters associated with presidential duties and
responsibilities. Executive Committee’s approval of such shall be limited to a total expenditure of
$100,000.00 (that’s instead of the $50,000.00 prior limit). If there is a need to extend the approval in the
future, this will come back to the Executive Committee for further review and consideration.
Trustee Butler moved to approve the requested action and Trustee Marshall seconded.
opposition and the motion was approved.
There was no
OTHER MATTERS
No other matters were discussed.
ADJOURNMENT
Trustee Butler made a motion to adjourn and Trustee Marshall seconded. The motion was approved.
Meeting adjourned at: 12:05 PM
Respectfully submitted,
Kathleen Carey
Recording Secretary
In compliance with Illinois Open Meetings Act 5 ILCS 120/1, et seq, a verbatim record of all Northern Illinois
University Board of Trustees meetings is maintained by the Board Recording Secretary and is available for
review upon request. The minutes contained herein represent a true and accurate summary of the Board
proceedings.
NIU Board of Trustees
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September 17, 2015
Action
Agenda Item 9.a.(1)
September 17, 2015
REQUEST FOR DELETION OF EMPHASIS
Public university governing boards have the final authority to delete subdivisions of major programs
including emphases. These requests are brought to the Academic Affairs, Students Affairs and Personnel
Committee of the Board of Trustees after receiving approval from curriculum committees at the
department, college and university levels and the concurrence of the provost.
Physical Education/K-12 and 6-12 Educator Licensure (B.S.Ed.)
Emphasis 1: Physical Education 6-12
Description: The university proposes to delete Emphasis 1: Physical Education 6-12 within the Physical
Education/K-12 and 6-12 Educator Licensure (B.S.Ed.) program.
Rationale: In the past 10 years, only three students have been enrolled in Emphasis 1: Physical
Education 6-12. Eliminating the emphasis will streamline the process for incoming Bachelor of Science in
Education students seeking Physical Education Teacher Licensure. In particular, eliminating this
emphasis will offset concerns regarding licensure requirements from the State of Illinois in the state’s
changes in middle school licensure.
Recommendation: The university recommends that the Academic Affairs, Students Affairs and
Personnel Committee endorse this request and asks that the President forward it by means of the
President’s Report to the Board of Trustees for approval at its September 17, 2015 meeting.
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September 17, 2015
Action
Agenda Item 9.a.(2)
September 17, 2015
RECOMMENDATION FOR TENURE
NAME
DEPARTMENT
Hired in with Tenure and rank of Professor
Gregory, Anne E.
Literacy and Elementary Education
Recommendation: The university recommends that the Academic Affairs, Student Affairs and
Personnel Committee endorse this request and ask that the President forward it by means of the
President’s Report to the Board of Trustees for approval at its meeting on September 17, 2015.
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September 17, 2015
Action
Agenda Item 9.a.(3)
September 17, 2015
ENTERPRISE RISK MANAGEMENT SYSTEM
Background Information: Enterprise Risk Management (ERM) is an enterprise-wide continuous
process that brings value by proactively identifying, assessing, and prioritizing material risks, as well as
enhancing institutional and strategic decision-making by providing senior management and trustees with
timely information that improves their understanding of enterprise-level risks and opportunities.
In response to recent state budget cuts, audit findings, enrollment declines, and other high profile
events, Northern Illinois University is working to identify the best possible way to implement a campus
wide ERM system and process to identify, control, and mitigate enterprise wide risks impacting all aspects
of University operations.
Recommendation: The University seeks Board of Trustees approval of the recommendation forwarded
by the Compliance, Audit, Risk Management and Legal Affairs Committee, which calls for the University to
proceed with a hybrid ERM approach. This approach enables the University to leverage in-house
expertise while also providing for limited consultation as necessary to support the internal ERM
effort. This option also provides the University with an enhanced ability to monitor, limit and control
project costs.
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September 17, 2015
Action
Agenda Item 9.a.(4)
September 17, 2015
FISCAL YEAR 2016 INTERNAL BUDGET
Background Information: Each year the University seeks the Board’s approval of the internal budget
for the current fiscal year. In most years, the University receives its State appropriation in early June,
but as a result of the State’s current financial situation, the State has not yet provided the University an
appropriation for FY 2016. This year, during the FY 2016 budget development process, our approach in
developing our recommendation to the Board has been to expand our engagement with the campus
community and solicit their input more broadly. This has enabled us to make more well-informed critical
and difficult decisions regarding our FY 2016 internal budget as we are facing declining revenue resulting
from reduced state appropriations and continuing enrollment shortfalls.
We continue to finalize the expenditure budget recommendation that we will be providing to the Board of
Trustees at the full Board meeting in September. Once the University has received an appropriation from
the State, we will bring a final revised internal budget recommendation to the Board for approval.
Recommendation: Pursuant to Board of Trustees Bylaws, the University requests Board of Trustees
approval of the FY 2016 Internal Budget as outlined in Table 1 and 2 below:
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12a
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Action
Agenda Item 9.a.(5)
September 17, 2015
FISCAL YEAR 2017 BUDGET REQUEST GUIDELINES
Background Information: Each year, at this time, staff seeks the Board’s approval of the budget
request guidelines that will be used to develop the University budget request for the upcoming fiscal
year. This is the first step in the state budget development process which will continue throughout the
next 9 or 10 months. This year, during the FY 2017 budget development process, a number of
significant events and issues will play a major factor in the outcome of the University’s final budget for FY
2017. The Budget Session will likely focus on the tax increase issue and possible action on the current
year budget. Depending on the outcome of legislative debate later this fall, taxes, pensions, and budget
issues are the topics likely to dominate the spring 2016 session.
Once the Board approves the budget request guidelines, the university prepares and submits to the state
a detailed set of budget request documents that detail funding requested for salaries, operating costs,
and university and program priorities for FY 2017. The budget request is submitted to the Illinois Board
of Higher Education (IBHE) for review, revisions and inclusion in the IBHE Higher Education Operating
Budget recommendation to the Illinois General Assembly and the Governor. The steps of the FY 2017
budget development process are summarized below.

September 17, 2015. The Board of Trustees will take action on the FY 2017 Budget Request
Guidelines and Capital Budget Request for use in preparing the University’s FY 2017 operating
budget request and capital budget request submitted to the State.
September 26, 2015. The University will submit FY 2017 Historical RAMP materials to the Illinois
Board of Higher Education (IBHE).

October 15, 2015. The University will submit FY 2017 Operating and Capital budget request
materials and Technical Question responses to the IBHE.

November 5, 2015. The President and his staff will attended the IBHE “Big Picture” or “Budget
Overview” meeting to discuss the State budget outlook for FY 2017 and the University’s critical
issues and budgetary needs.
November 2015. The IBHE will release a draft “discussion” budget for comment.

December 2015. The Governor’s Office of Management and Budget will release its updated 3year revenue projections and budget outlook for FY 2017.
December 2015. The IBHE will take action on its FY 2017 budget recommendations for operating
funds and capital.

March 2016. The Governor’s proposed budget for FY 2017 will be announced.

March–May 2016. President Baker will be asked to present budget testimony to the Senate
Appropriations Committee and the House Higher Education Appropriation Committee.
NIU Board of Trustees
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September 17, 2015
To ensure the timely preparation and submission of the university's FY 2017 detailed budget request to
the IBHE, Board approval of the FY 2017 budget request guidelines is needed at this time.
In FY 2016 the university, according to the Board of Trustees approved guidelines submitted a budget
request of $105,250,700 to the IBHE. This was based off of the FY 2015 appropriated budget of
$93,189,500 plus the approved increases for salaries, utilities, library/technology expenditures, program
priority requests, deferred maintenance, and general cost increases. The FY 2015 appropriated budget
was later revised by the General Assembly to $91,092,700. For FY 2016 we are facing a budget reduction
ranging anywhere from -6% to -31.5%. The FY 2017 guidelines recommended by the university for
Board of Trustees approval represent a return to the FY 2015 revised appropriation level.
FY 2017 Budget Request Guidelines
Overall return to revised FY 2015 funding level of $91,092,700.
This includes $3,096,238 in Program Priority Requests: To continue programmatic efforts to enhance
and strengthen academic commitments in undergraduate education and off-campus programs as
follows:

$613,800: Health Information Management. To support the development of a new degree
program that involves information science, computer science, and health care. A Health
Information Management degree will provide undergraduates with the skills needed to enter high
demand health fields dealing with the acquisition, storage, retrieval, and use of information
related to health and health services.

$603,000: Bachelor of Science in Technology with Emphasis in Applied Manufacturing
Technology. To support the development of a new degree program which would provide a
seamless pathway for community college students who earn an A.A.S. degree. Currently, there
is a dire need for students to enter the manufacturing workforce and to be trained to work in any
of the diverse sectors within the manufacturing field.

$560,338: Web-based, Off-Campus Baccalaureate Completion programs for Community College
Students as a Component of Regional Economic Development. To offer additional high demand
undergraduate programs at community college sites in the university’s service region to be
delivered through a combination of face-to-face and web-based instruction. This initiative would
build on the university’s efforts to establish a coordinated focus on the economic and workforce
development needs of the entire northern Illinois region.

$554,900: Nursing and Medical Laboratory Sciences. To provide the resources needed to increase
enrollments and the numbers of degrees awarded in nursing and medical laboratory sciences,
which would contribute to the key work force needs in the State of Illinois.

$764,200: Teacher Preparation-STEM Areas. This initiative will provide opportunities for the
professional development of practicing teachers in key science, technology, engineering and
mathematics (STEM) areas. Preparing “highly qualified” teachers in the STEM areas will improve
the competencies of high school graduates who enter higher education and increase
baccalaureate degree completions.
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September 17, 2015
In addition to state funding support, the university will also seek reforms that impact university resources
but are considered non-budgetary in nature. Staff will work with the IBHE, the Governor’s Office,
legislators, and other institutions to seek relief from unfunded mandates and burdensome regulations and
requirements related to procurement and civil service. In short, more flexibility is needed in order to
adapt and thrive in today’s environment.
Recommendation: To develop the FY 2017 budget request, the University recommends Board of
Trustees approval of the budget request of $91,092,700. In addition, due to the uncertainty surrounding
the final state budget for FY 2016, which may result in extension of deadlines for the FY 2017 budget
submission, the Board authorizes the President to make appropriate adjustments to these FY 2017
request guidelines.
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September 17, 2015
Action
Agenda Item 9.a.(6)
September 17, 2015
FISCAL YEAR 2017 APPROPRIATED CAPITAL BUDGET REQUEST
Summary: The Appropriated Capital Budget Request is prepared in the fall prior to the budget year in
order to meet the Illinois Board of Higher Education (IBHE) and state capital project review and approval
submission schedules. The Capital Budget Request consists of two principal categories of projects that
profile the university’s requirements for the capital improvements and construction and equipment
appropriations. The “Capital Renewal” category lists repair and renovations projects with estimated
budgets in excess of $100,000, which are not included in the campus permanent improvement operation
budget allocation. Request may include improvements to existing facilities and systems, building
additions, infrastructure and site/roadway/utility improvements. The attached table provides a summary
of the Fiscal Year 2017 Capital Request.
Recommendation: The University requests Board of Trustees approval of the Fiscal Year 2017 Capital
Budget Request. The request will then be submitted to the Illinois Board of Higher Education for
consideration and inclusion in the statewide Fiscal Year 2017 IBHE Capital Budget Recommendation.
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Narrative on Priority Rationale
Capital Projects
1.
Computer Science, Health Informatics & Technology Center
The university is requesting funding for a new Computer Science, Health Informatics &
Technology Center. In the last decade the demand for college graduates with expertise
in health technology based fields has increased exponentially. The new facility will offer
students a unique learning environment combining the best of a time-honored college
education driven by a focus on advancing health technology. The center will have
extensive infrastructure to accommodate a broad range of equipment necessary to
develop a nationally competitive program with potential for industry and professional
certification programs, custom health informatic learning labs and single classes for
corporations and individuals. Experience using “cutting edge” technology in a wellplanned, well equipped facility, will prepare students to compete and succeed in the
intense technologically complex world of the future.
2.
Davis Hall Renovation
This Gothic style building, designated at the time it was built as the campus “Science
Building”, was constructed in 1942 and renamed Davis Hall in 1964 after the
distinguished scientist William Morris Davis. The original building was constructed with
steel and steel reinforced concrete and then sheathed with Joliet Limestone. The
building consists of 65,500 gross square feet of which 42,493 are assignable. Davis Hall
was constructed as the institution’s first Science Building and was designed to
accommodate Physics, Earth Sciences, Geography, Biology, Chemistry, Electronics,
Meteorology, Astronomy, and Home Economics. While many of these disciplines have
been relocated on campus over the years as buildings such as Montgomery, Faraday,
and LaTourette Halls have been brought on line, Geology (Geology and Environmental
Geosciences) and Geography remain as the departments assigned to Davis Hall.
Other than the installation of a telescope in 1965 and of air conditioning systems in 1975,
no other major renovations have occurred to Davis Hall over the last 70+ years. The
building still utilizes the original fused electrical panels. Available power is completely
inadequate for modern lab requirements. Davis mechanical systems are inefficient,
inadequate, and antiquated. The flat roof sections are failing and 2 sides of the building
need major repairs to the stonework including overall tuck pointing. In order to continue
to be of functional value, the building requires a number of comprehensive infrastructure
updates, including a new HVAC system that can take advantage of the East Campus
Chilled Water line which has been brought to the building’s east foundation wall, an
upgraded electrical system, etc. In FY15 NIU successfully connected Davis Hall to the
East Chiller Plant, providing chilled water to the building, thus completing the first step
necessary in the process of updating the buildings HVAC systems. Existing fume hoods
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September 17, 2015
are not able to satisfactorily accommodate the needs of the scientists that are assigned
to Davis. There is no elevator service to the 6th and 7th floors. Restroom locations are
not compliant with today’s code requirements.
3.
Academic Buildings HVAC & Window Replacement
Several buildings on campus are experiencing problems with air ventilation systems due
to the age of the equipment. Three buildings of primary concern are Reavis, Watson and
Montgomery Halls. Both Reavis and Watson Halls are classroom/faculty office buildings
with identical HVAC systems that are 35 years old and can be described as forced dual
duct systems (one heat duct/one cooling duct) with units mounted in walls controlling
the room temperature. Difficulty keeping constant temperature-humidity and airflow has
surfaced in both buildings during the last two years stemming from not only the age of
the equipment, but also the inaccessibility of it for maintenance purposes. Recessed wall
units are completely sealed behind masonry leaving no openings for repair of internal
parts. This project would remove and replace the recessed wall units, dampers, and
temperature controls.
The objective of the Montgomery Hall portion of the project is to convert ventilation
systems serving laboratory, office and classroom areas from existing constant velocity
dual duct to variable air volume (VAV). Major portions of trunk and branch duct work
will be redesigned and replaced. Some fume hoods would be replaced while all hoods
would be retrofitted with monitor controls, sash sensors, alarms and air flow valves. All
building controls would be updated. Asbestos abatement in some areas will also be
necessary.
The second part of the project is the replacement of windows throughout Montgomery
Hall, Faraday Hall, and the Psych/Math Building. The existing windows date back to the
original construction of the buildings, well over thirty years ago. They are generally of a
single pane variety and very inefficient in their ability to conserve heat in the winter
months and cool air during summer. Current window systems will be installed that are
considerably more energy efficient, which will complement the university’s efforts at
energy efficiency and conservation.
4.
Roadway Reconfiguration and Repair
Most roadways serving the NIU campus were constructed and are owned by the
university, except Lucinda, Normal, Carroll, Locust and Annie Glidden. The majority of
the road construction coincided with the building surge in the 1950s and 1960s, though
much of the East Campus road construction pre-dates that period. During the 1970s and
1980s several campus roadways were resurfaced, however, the only significant
reconstruction projects that have been completed in recent years are Lucinda Ave, Castle
Dr, Gilbert Dr, a section of Stadium Drive West, and a section of College Ave.
Deterioration of campus streets has progressed to the point that maintenance efforts can
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September 17, 2015
no longer keep up with the disintegration on a localized basis. In addition to normal
freeze/thaw damage, repairs due to construction projects (underground utility
replacement, etc.) have led to a patchwork of street surfaces each with seams that let
more water penetrate and add to the deterioration. The additional burden of Huskie Bus
traffic on university streets has accelerated the deterioration, particularly at bus stop
locations.
5.
Wirtz Hall Renovation
In the previous 8 NIU Capital Request submissions, Wirtz Hall renovation was listed with
the Electrical Distribution project as a single request item. Unfortunately the condition of
the campus electrical infrastructure has reached a point of deterioration that the
university has had to take action with some internal funds. Phase I of the electrical
infrastructure repairs was approved by the NIU BOT in March of 2011 and repairs are
ongoing. Phase II of the electrical infrastructure has been requested as the top Renewal
priority in the 2013 Capital Renewal Request. Phases III and IV of the NIU electrical
infrastructure project are requested in this year’s request. The budget reduction
indicated in the FY13 Wirtz Renovation Request, relative to FY12 Electrical Distribution &
Wirtz Hall Renovation, is due to the decoupling of these important projects.
This project will provide improvements for programmatic spaces and building efficiency.
The need for an upgraded and remodeled building to house the Health & Human
Sciences College is substantiated by the dramatic changes in the type of physical facilities
needed by a modern college to support new learning outcomes and increase interaction
with the health community. Plans will focus on the consolidation of the college’s space
needs into Wirtz Hall. The Health & Human Sciences College will be housed in a
remodeled, dedicated building that will provide classrooms that facilitate group
discussion, laboratories that allow students to refine presentation skills, computer
laboratory spaces, faculty and administrative offices, and spaces that facilitate student
interaction and interdisciplinary faculty relationships. This request will provide funding
for the planning, design and construction of remodeling Wirtz Hall.
6.
Campus Signage and Wayfinding
The university currently maintains over fifty major buildings and numerous smaller
facilities. For the thousands of new incoming students every fall, and visitors throughout
the year, the campus often appears to be a small city. These individuals must find their
way in what may appear to be a maze of buildings, departments, and offices, and usually
they must locate their destination in a timely manner. The university will engage an
experienced consultant to address three primary areas of concern; campus boundary
improvements, pedestrian directional signs and landscape improvements.
Key aspects of the project include developing a system of “elements” which reinforce
pathways from parking areas to destinations. This could include building identities,
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September 17, 2015
pedestrian directional signs, campus directory units and informative or commemorative
elements. In addition, the system will assist in determining destination priorities and
direct pedestrians to the closest entrance.
7.
Elevator Rehabilitation & Renovation
NIU seeks to rehabilitate passenger elevators across campus. After many years of
service, the elevators have become difficult to repair and have extremely high
maintenance costs. They provide an unacceptable level of performance, and the
problems and breakdowns are appearing more frequently and varied. In addition, part
availability has become a problem, especially as the elevators continue to age because
there is a need to upgrade to the latest elevator technology and systems available. This
project requests funding for labor and material necessary to install controllers, replace
generators, SCR drives, and install new hall and car stations for Faraday, Graham,
Montgomery Hall (partially complete) and Swen Parson Hall.
8.
Hoffman Estates Facility
NIU – Hoffman Estates opened for classes and conferences in the fall of 1992 in order to
provide quality, affordable education at a convenient location. The positive enrollment
response at NIU – Hoffman Estates was immediate and has been escalating annually. As
many as eighteen academic offerings cannot be accommodated in the current facility.
Additionally, the demand for noncredit training, updating, and conference activities can
be expected to increase drastically, given the current trends for continuous workforce
training and professional development. The requested facility would be approximately
100,000 square feet with a diverse mix of program spaces to accommodate academic,
continuing education, workforce training and development needs.
9.
McMurry Hall Renovation
This Georgian style building was constructed in 1911 and is the second oldest building at
Northern Illinois University. The building was constructed of brick and limestone
consisting of 33,649 gross square feet of which 26,694 are assignable. In 1911 President
Cook placed importance on building a Practice School to facilitate Northern’s teachingtraining program. The first floor was used to educate the lower grades and the second
floor was used for the upper grades. McMurry was eventually converted into classrooms
and offices for the College of Business. In 2002 the College of Business constructed
Barsema Hall and McMurry became the home of the College of Health and Human
Sciences.
The building is named for both Charles McMurry and his sister-in law Lida Brown
McMurry. Both highly regarded, the staff and alumni honored them for their superior
work by voting to name the first new building since Altgeld Hall after them. Charles held
the positions of director of the Practices Schools professor of pedagogy at Northern and
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superintendent of schools in DeKalb. Professor McMurry, a superior and popu8lar
teacher, authored or coauthored at least forty books. Lida spent seventeen years at
Northern as a critic and teacher, authored or coauthored children’s literature and poems,
worked with small children and founded the first student Y.W.C.A. chapter in the United
States.
Other than the installation of a new roof in 2002 and various other minor renovations
(i.e. painting/carpeting/lightings), no other major renovations have occurred to McMurry
Hall over the last 100+ years. Available power is completely inadequate for modern
technology and classroom requirements. McMurry hall still utilizes window unit air
conditioning systems and the various other mechanical systems are inefficient,
inadequate, and antiquated. The building as a whole is in need major repairs; this
includes tuck-pointing of all exterior masonry and stonework. In order to continue to be
of functional value, the building requires a number of comprehensive infrastructure
updates, including a new HVAC system that can take advantage of the East Campus
Chilled Water line, an upgraded electrical system, etc.
Space within McMurry Hall is configured for the buildings original use in 1911. And while
the space generally works for a classroom building, additional efficiencies need to be
made. In order to achieve more optimal learning environments a more modern, student
focused, technology oriented, teaching experience needs to be created.
9.
Adams Hall Renovation
Originally a woman’s dormitory, Adams Hall which opened in 1949 was named for
Northern Illinois University President Karl A. Adams (1929-1948). Joliet marble shaped in
collegiate Gothic style constitutes the exterior of the building, which at that time,
provided luxurious accommodations for women students. Furnished linens, silver and
Bavarian china were provided and tea was served every afternoon. In 1967 the building
was converted into a general revenue administration building. Since the space within
Adams Hall was originally designed to accommodate a dormitory, the current use of the
building for administrative functions is not compatible with the historical space design.
Currently the building houses Faculty Development, Academic Support Services, Student
Academic Success, Testing Services, Graduate Studies, Family and Consumer Nutrition,
Office of Sponsored Projects and Internal Audit departments. In order to achieve an
optimal working environment for these departments, significant renovations to the
building need to occur.
In addition to the space use renovation, other than the installation of fan coil units in
approximately 1967, no other major renovations have occurred in Adams Hall over the
last 66 years. Available power is inadequate to meet modern technology demands.
Mechanical systems are inefficient and antiquated. The existing building supply fan is
original to the building and does not provide modern capabilities to temper outside air
and reduce humidity levels within the building. This, and the need to provide major
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September 17, 2015
repairs to the existing masonry structure and tuck pointing have caused significant
problems with the university’s ability to control the indoor air quality. High humidity levels
in the building within the summer months have created optimal conditions for mold and
mildew growth.
In order to continue to provide a healthy and productive work environment for the
faculty, staff and students that occupy the building, the University seeks to preform
major renovations on Adams Hall to address but the space functionality of the building
and the overall building structure and systems.
Narrative on Priority Rationale
Capital Renewal Projects
R1.
(Unfunded 2014) Main Steam Tunnel Rehabilitation
The main steam tunnel’s concrete structure has deteriorated over many years of service.
At this point, the condition of the tunnel is worsening and an exponential rate and the
potential for the disruption of steam distribution to the main campus from the Heating
Plants is a growing concern. In addition, safety concerns to Physical Plant staff and
Heating Plant staff will continue to arise during the ongoing maintenance required for the
steam tunnel. Currently, the condition of the tunnel has made repairs and preventative
maintenance difficult to perform and has resulted in high maintenance costs.
R2.
(Unfunded 2013) General Revenue - Chiller Tie-In - Phase 8
Northern Illinois University has several buildings located on campus that are operated by
standalone systems HVAC. In 1991 NIU completed the final phase of a comprehensive
study of the university’s utility systems. The university’s consultant provided an allinclusive report on the condition and recommended rehabilitation and improvement of
electrical, steam, water, natural gas and chilled water distribution systems. Phase 8 of
this plan seeks to connect Davis Hall, Still Gym, Still Hall and McMurry Hall to the
university’s chilled water loop. Connecting these buildings to the university’s chilled water
loop will provide the university the ability to remove the buildings existing standalone
systems which (due to their age) are both costly to maintain and operate.
R3.
(Unfunded 2014) Phase III Electrical Infrastructure
In 1991 NIU completed the final phase of a comprehensive study of the university’s
utility systems. The university’s consultant provided an all-inclusive report on the
condition and recommended rehabilitation and improvement of electrical, steam, water,
natural gas and chilled water distribution system. Of major importance to the university
was the section dealing with the electrical distribution system. In subsequent years,
repairs and replacement of system components have occurred while the campus has
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September 17, 2015
continued to experience an increasing electrical load resulting from the addition of new
buildings on campus. Beginning in fiscal year 1996, the university has included a
program necessary to address the deferred maintenance of the campus electrical
distribution system in is annual Statement of Capital Requirements.
Commonwealth Edison supplies power to the universities five campus substations; Carroll
Avenue substation, Lucinda Avenue substation, Stadium Drive substation, Glidden
substation, and North Glidden substation. Some areas of the electrical system have
experienced temporary failures and emergency work has been required. Much of the
system, which is distributed through duct banks below grade, was installed during the
building boom in the 1960’s. Basic components such as conductors, transformers, and
switches at the substations are beyond their normal 35-year useful life cycle and are in
need of replacement / repair. The electrical distribution system is primarily a looped
configuration which allows for two cables to enter into each building (incoming and
outgoing). There are some small sections of the system at NIU that also feature radial
feeders which can cause major problems and extended outages of more than 8 hours if a
problem were to occur in these areas.
R4.
(Unfunded 2013) Monsanto Roof Replacement
The NIU Monsanto Building houses Northern Illinois University’s telephone equipment
and police safety equipment. The original roof has deteriorated to the point that patching
and intermediate repairs are no longer feasible. Over the last 10-15 years the roof has
begun splitting open. Water infiltration and secondary damage occurs within the building
whenever it rains causing significant damage to existing equipment in building. Roof
replacement is necessary to correct the problem. The existing insulation has been in
contact with water and also needs to be replaced. The roof is over 34,000 square feet
and will require extensive roof flashing. Roofing on canopies should also be replaced at
this time.
R5.
(Unfunded 2013) McMurry Lecture Room Roof Replacement
A temporary roof was put on McMurry Lecture Room in 1990, and has never been
permanently addressed. Prior to 1990, the original roof consisted of EPDM with layers of
insulation on top of roof deck. Water infiltration and secondary damage is occurs within
the building due to the lack of a permanent roof. Roof replacement is necessary to
correct the problem. The roof is over 2,000 square feet and will require extensive roof
flashing.
R6.
(Unfunded 2014) McMurry Stone Repair
McMurry Hall, constructed in 1911, is a three story solid brick masonry bearing wall
structure with decorative cut limestone surrounds that accent the doors, windows and
eave line of the building. The masonry requires routine maintenance, cleaning, tuck
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pointing, and restoration, to ensure the building exterior is kept weather-tight to protect
the structural integrity of the bearing walls. The decorative limestone is in poor condition
at the south entry and several other locations. The aluminum framed windows installed
in 1963 are now worn and leaking and beyond the normal life expectancy for the
material.
R7.
(Unfunded 2014) High Pressure Steam Vault Replacement
The concrete structure covering the High Pressure Steam Vault serving Reavis and
DuSable has deteriorated due to many years of service and heavy vehicular traffic over
the concrete vault. There is a safety concern with having vehicles drive over the vault
because of the poor condition of the structure. In this condition, the vault also allows
water infiltration that is corrosive and deteriorating in nature to the valves, piping and
associated steam distribution equipment.
R8.
(Unfunded 2014) Music Building Roof Replacement
The original roof on the NIU Music Building was installed in 1972 and has deteriorated to
the point that patching and intermediate repairs are no longer feasible. Water infiltration
and secondary damage is occurring within the building whenever it rains. Roof
replacement is necessary to correct the problem. The all-weather-crete insulation is also
spoiled at this point and must be replaced. The existing roof is a 3 ply built-up roof with
(BUR) with a gravel surface over coal tar pitch. The roof is over 60,000 square feet with
eight major roof levels that will require 2,000 feet of new roof flashing. This roof offers
an ideal location for green roof opportunities which will be considered in this scope of
work.
R9.
(Unfunded 2015) East Heating Plant Coal Silo
The existing East Heating Plant coal silo has not been utilized since the University’s
departure from coal as a form of heating. As a result, the existing silo has sat un-used
for quite some time. Over the years the veneer has begun spalling and large portions of
masonry have begun to fall off. In order to address this problem the University seeks to
tuck point the existing masonry structure and preform restoration of the masonry walls
that have begun to deteriorate and crack.
R10.
(Unfunded 2015) Phase IV Electrical Infrastructure
In continuation of the efforts outlined in Phase III Electrical Infrastructure (R3 Above),
Phase IV of the Electrical Infrastructure will incorporate the replacement of underground
duct bank high-voltage electrical cables (Loop S#1 to G#5, Loop S#2 to G#4 and Loop
NG#1 to G#3) as well as the replacement of the Carroll Avenue Substation as well as the
renovation of electrical building equipment in the Davis Hall.
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Loop S#1 to G#5 is distributed in 4,450 lineal feet of duct bank. The buildings that are
fed on this loop include: Convocation Center, Stevenson North, Stevenson South and the
Softball Field.
Loop S#2 to G#4 is distributed in 5,400 linear feet of duct bank. Although 300 lineal feet
of cable has been replaced recently, it will be necessary to replace the remaining 5,100’.
The buildings that are fed on this loop include: Yordon Center and Huskie Event Power,
Stadium West, Dorland Building & Physical Plant, Stadium East, TV Center, BAVC and
Recreation Center.
Loop NG#1 to G#3 is distributed in 3,910 lineal feet of duct bank. All 300 lineal feet of
cable on this loop has been replaced in recent years. The buildings that are fed on this
loop include: West Heating Plant, Lincoln Hall, New Residence Hall and Community
Center.
R11.
(Unfunded 2014) Elevator Rehabilitation
Northern Illinois University seeks to rehabilitate several elevators on campus. After many
years of service, the elevators in many general revenue buildings have become difficult
to repair and have extremely high maintenance costs. They provide unacceptable levels
of performance, and the problems and breakdowns appear more frequently and varied.
Many exiting controllers are not equipped with the necessary fire protection technology
and do not comply with local and national codes.
R12.
(Unfunded 2014) Modern Collaboratory Classroom Conversions
Many of our current computer labs on campus utilize outdated technology. As new
students arrive on campus, it is essential to provide up to date technology in order to
provide classroom environments that meet the needs of both our students and teaching
staff. Collaboratory classrooms are intended to provide a high tech tool and seating
configuration environment specifically created to facilitate active, collaborative learning
(professor guided, student collaboration in a laboratory-type setting) in a board-room like
seating arrangement. The physical design of the room, accessibility to computer stored
and on-line web information, the nature of the class materials, and the make up of the
groups are carefully structured to encourage students to interact as a team during
problem solving tasks.
Features include:
• Separate learning pods, each seating six to eight students.
• Digital touch screen for each pod allowing students to interact both intellectually
and physically with educational material much in the same way users interact
with touch-screen iPads.
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September 17, 2015
•
R13.
Individualized student workstations with internet access enabling online
networking among students and a specialized instructor workstation for
monitoring each student or group where the professor can project and interact
with classroom work ongoing within each pod.
(Unfunded 2015) East Heating Plant Upgrade - Phase 9
Northern Illinois University has several buildings located on campus that are operated by
stand-alone HVAC systems. In 1991 NIU completed the final phase of a comprehensive
study of the University’s utility systems. In an effort to continue the progress made from
this study, the University has identified areas of additional improvements within its
electrical, steam, water, natural gas and chilled water distribution systems. Phase 9 seeks
to provide the infrastructure needed to connect Anderson Hall, Engineering Building,
Barsema Hall, Faraday East and LaTourette Hall to the University’s chilled water loop.
Connecting these buildings to the University’s chilled water loop will provide the
University the ability to remove the building’s existing stand-alone systems which (due to
their age) are both costly to maintain and operate.
Phase 10a and 10b (R15 & R16) seeks to connect Anderson Hall, Engineering Building,
Barsema Hall, Faraday East, LaTourette Hall, Davis Hall, McMurry Hall, Still Gym, and Still
Hall to the university’s chilled water loop. In order to accommodate the additional load
provided for in phase 10a and 10b, phase 9 will need to be completed. Phase 9 work to
include the addition of 2 chillers, 2 pumps and 2 additional cooling towers.
R14.
(Unfunded 2013) General Masonry and Stone Restoration/Replacement
Existing masonry buildings on campus have begun to deteriorate requiring significant
restoration, inclusive of tuck-pointing and stone & brick replacement. Water is infiltrating
causing secondary damage to building interiors. The parapets of some buildings are
allowing water to also come in from the ceilings. To maintain the building’s exterior
integrity, significant masonry and stone tuck-pointing will need to be done. In particular,
the exterior masonry of Still Hall, above the garage door, has begun to sag, causing
problems not only with the exterior masonry cracking, but also causing glazing within the
windows above to crack as well.
R15.
(Unfunded 2016) Davis Hall Parapet
Northern Illinois University’s Davis Hall was originally constructed in 1942. Over the
years, through natural weather deterioration, the masonry tuck pointing around the roof
parapet has begun to severely deteriorate. Due to this natural deterioration, water has
begun to infiltrate the masonry cavity causing significant spalling and damage to the
parapet wall. In order to avoid further damage NIU would like to preform tuck pointing of
existing masonry structure, restoration of masonry parapet that has begun to deteriorate
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and bow, restoration of masonry walls that have begun to crack and replacement / repair
of lintels that have begun to fail.
R16.
(Unfunded 2015) General Revenue Chiller Tie-In - Phase 10b
Northern Illinois University has several buildings located on campus that are operated by
stand-alone HVAC systems. In 1991 NIU completed the final phase of a comprehensive
study of the University’s utility systems. In an effort to continue the progress made from
this study, the University has identified areas of additional improvements within its
electrical, steam, water, natural gas and chilled water distribution systems. Phase 10b of
this plan seeks to connect Anderson Hall, Engineering Building and Barsema Hall to the
University’s chilled water loop. Connecting these buildings to the University’s chilled
water loop will provide the University the ability to remove the building’s existing standalone systems which (due to their age) are both costly to maintain and operate.
Phase 10b seeks to connect Anderson Hall, Engineering Building and Barsema Hall to the
University’s chilled water loop. Work to include interior modifications to existing systems
for all buildings as well as the addition of significant underground pipe to the Engineering
Building and Barsema Hall. DDC controls (with I-Net) will also need to be provided at
each building.
R17.
(Unfunded 2015) Replace Neptune Bridge - Phase 11
The existing bridge running over the Kishwaukee River on the west side of Neptune Hall
is in significant disrepair and needs to be replaced. In order to do so, additional work
must be completed to re-locate the existing steam lines that run underneath and are
supported by the bridge.
In order to avoid outages in service to the steam line, the existing bridge west of
Neptune Hall will need to be relocated. Project to include the relocation of the existing
foot bridge and all associated structural work. Work to also include the installation of a
new steam line to connect into the existing east and west tunnel system, tunnel for the
steam line and all associated equipment and ejector pumps. Once the new line has been
installed and successfully connected, the existing bridge is to be removed in its entirety.
R18.
(Unfunded 2016) Replace Water main Central Campus
The NIU Campus domestic water main piping distribution system consists of looped
piping networks interconnected with the City of DeKalb water distribution system at
many points. In 1990, the SEGA Utility System Planning Project was commissioned by
NIU to recommend improvements to all campus utilities including underground water
distribution piping. Final analysis was based on water main break history since 1976,
internal corrosion potential and external soil corrosion potential via soil chemistry boring
samples. From this, a table of expected pipe life was applied to campus areas with
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known installation dates. Over time, modern fire protection flow rates were also applied
for pipe sizing in campus areas that have experienced building growth after original
water main installation.
The Central Campus 6-inch water main extending from approximately the northeast
corner of Gabel Hall at Stadium Drive, along and south of University Circle to Carroll
Avenue, was installed in 1959 using cast iron pipe. The SEGA Report recommended
replacing this 1,700 foot main line piping length with 10-inch diameter ductile iron pipe
within 5 years of the published date. This increased diameter will insure maximum fire
hydrant flows with minimum pressure drops during emergencies. This work will also
include valve vaults, new fire hydrants, and smaller branch pipe building connection
lengths with road, curb and landscape remediation.
R19.
ADA Upgrades
Many of our university buildings were built before 1998 (American’s With Disabilities Act)
and lack the needed amenities for individuals with disabilities. In order for NIU to
continue to provide sufficient facilities to our students, staff and visitor’s with disabilities,
NIU seeks to update various areas on campus to meet the current ADA code. Work to
include, but not limited to, the renovation of existing handicap toilet rooms, ramps, entry
pathways and doors, lifts, service counters, adaptive hearing mechanisms and exterior
improvements to accommodate individuals with disabilities.
R20.
Simulation Labs
Northern Illinois University School of Nursing prides itself on its ability to provide its
students with a dynamic hands-on teaching environment. In order to continue to provide
this type of high level theoretical knowledge based education, the School of Nursing
seeks to enhance their existing facilities with four additional simulation labs (and integral
control rooms) in which students have the opportunity to practice essential skills in a
computer based lab. Mannequins simulate a variety of symptoms that can be found in
real life scenarios. This experiential and active learning environment is essential in
providing our students with the skills necessary to be successful within the nursing field.
R21.
Swen Parson Hall - Parapet Restoration
Northern Illinois University’s Swen Parson Hall was originally constructed in 1952. Over
the years, through natural weather deterioration, the limestone tuck pointing around the
roof parapet has begun to severely deteriorate. Due to this natural deterioration, water
has begun to infiltrate the masonry cavity causing significant spalling and damage to the
parapet wall. Work to include tuck pointing of existing limestone structure, restoration of
masonry parapet that has begun to deteriorate, spall and loose stones.
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September 17, 2015
R22.
New Boiler Number 3 - West Heating Plant
Northern Illinois University’s existing boiler system provides steam for heating both the
east and west campus. Many components of the University’s system are quite old and
have been decommissioned due to severe deterioration of the interior boiler tubes and
components. More specifically, Boiler #3 located in our West Heating Plant has recently
been decommissioned. The loss of this boiler creates a major safety hazard for the
heating plant, students and staff by putting the campus at risk of losing heat during the
winter months. In order to provide a safe, secure and stable boiler system, the university
wishes to replace Boiler #3 with a new high efficiency boiler that will save energy and
provide additional heating capacity. This work will ensure that the University Heating
Plant will be able to provide additional heating capacity that will ensure campus facilities
will be properly maintained through severe winter conditions.
In order to provide a safe, secure and stable boiler system, the university wishes to
replace Boiler #3 with a new high efficiency boiler that will save energy and provide
additional heating capacity. Additionally the University wishes to rebuild and recertify
Boiler #5. This work will ensure that the University Heating Plant will be able to provide
additional heating capacity that will ensure campus facilities will be properly maintained
through severe winter conditions.
R23.
Repair/Re-tube Boiler Number 5 - East Heating Plant
Northern Illinois University’s existing boiler system provides steam for heating both the
east and west campus. Many components of the University’s system are quite old and
have been decommissioned due to severe deterioration of the interior boiler tubes and
components. More specifically, Boiler #5 within the East Heating Plant is also in need of
significant repairs. This boiler was installed in 1976 and is currently “off line” do to the
same interior deterioration of boiler tubes and components. The loss of this creates a
major safety hazard for the heating plant, students and staff by putting the campus at
risk of losing heat during the winter months. In order to provide a safe, secure and
stable boiler system, the university wishes to repair/rebuild and recertify Boiler #5. This
work will ensure that the University Heating Plant will be able to provide additional
heating capacity that will ensure campus facilities will be properly maintained through
severe winter conditions.
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September 17, 2015
Action
Agenda Item 9.a.(7)
September 17, 2015
FISCAL YEAR 2017 NONAPPROPRIATED CAPITAL BUDGET
Summary: The Fiscal Year 2017 Nonappropriated Capital Budget consists of two principal categories,
both presented in Table C105. Projects with estimated budgets in excess of $100,000 are listed
individually, while projects estimated under $100,000 are presented in aggregate and categorized to
enable tracking for management purposes. The Nonappropriated Capital Budget is developed from
requests submitted by department heads and physical plant and facility users. Requests are prioritized
and presented for approval and include improvements to existing facilities and systems, building
expansions, infrastructure and site/roadway/utility improvements.
The attached table and brief
descriptions provide a summary of the Fiscal Year 2017 Nonappropriated Budget.
Recommendation: The University recommends Board of Trustees approval of the Fiscal Year 2017
Nonappropriated Capital Budget as outlined in the following table and descriptions.
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Plans for Noninstructional Capital Improvements
For the Fiscal Year 2017 Budget
17-1 Naperville Parking Lot Reconstruction
The Naperville campus parking lot provided 565 parking spaces for the use of students, faculty,
staff, clients, guests and visitors. The parking lot is original to the building which was
constructed by the University in 2000. The existing pavement is currently in very poor
condition, with driveways and drive aisles being in poorest condition. A maintenance program
of patching, pothole filling, surface seal coating and crack repairs instituted during the last
several years was ineffective in prolonging the useable life of the pavement.
17-2 Parking Lot P/PS Patch & Resurface
Lot P is located west of Stevenson Towers. This parking area is used by residence hall students who
mainly live in Stevenson and their visitors. Each school year we have a number of handicapped students
who also use this lot to park in and the condition of this lot can make their journey to Stevenson even
more difficult. This lot is in very poor condition. It is a very aesthetically unappealing parking lot and
poses a safety hazard for vehicles and pedestrians.
17-3 Recreation Center Men’s Locker Room Renovation
The Student Recreation Center locker rooms were constructed in 1983 when the facility was built. Most
fixtures, finishes, and hardware are worn, outdated, in poor condition, and original items from 1983. The
concept of the project is to redesign and replace all fixtures, hardware, and surfaces to modernize,
maximize space, and make it more aesthetically pleasing and effective for users.
17-4 Recreation Center Women’s Locker Room Renovation
The Student Recreation Center locker rooms were constructed in 1983 when the facility was built. Most
fixtures, finishes, and hardware are worn, outdated, in poor condition, and original items from 1983. The
concept of the project is to redesign and replace all fixtures, hardware, and surfaces to modernize,
maximize space, and make it more aesthetically pleasing and effective for users.
17-5 Lot 30D (Stevenson Dock) Reconstruction
The Stevenson dock is an existing concrete slab with a sloped surface that included snow
melting devices which decayed and rotted out which has deteriorated the concrete.
Reconstruction and replacement of the snow melting device is required to ensure safe deliveries
to the dock.
17-6 Lot C-2 Phase II Reconstruction
Phase I is currently under way and has determined a second phase with additional funding is
necessary to properly repair this area. Pavement is caving in on top of/around conduit and
drain tile lines that were placed across and under parking lot after it was originally built. These
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September 17, 2015
areas have settled differently than the rest of the pavement causing significant depressions in
both drive lanes as well as the parking spaces. These depressions are a concern for safety for
users, especially for event events, as well as to equipment you to maintain and remove snow
from the parking lot.
17-7 New Hall Dish Room
New Hall dining facility serves double the capacity that it was designed for. As such, the space
needs to be reconfigured and adequately designed to provide proper dish service sanitation.
This overuse of capacity has created the current equipment to expel additional condensation
and humidity with dangerous conditions as a result.
17-8 Lot 29D (Grant Dock) Reconstruction
The Grant dock is an existing concrete slab with a sloped surface that included snow melting
devices which decayed and rotted out which has deteriorated the concrete. Reconstruction and
replacement of the snow melting device is required to ensure safe deliveries to the dock.
17-9 Rotational Painting Athletic Facilities
Well-maintained and routinely painted facilities reduce the rate of deterioration and prolong
the life of facilities.
Aesthetically pleasing areas are less likely to be vandalized and
encourages the university community to take pride in their surroundings. These dedicated
funds would be utilized throughout the fiscal year to accommodate any painting needs that
may arise due to wear and tear on the facilities including offices, conference and meeting
rooms, entrances, lobbies, locker rooms, and bathrooms.
17-10 Aggregate Amount Budgeted for Remodeling and Rehabilitation under
$100,000
A number of projects have been identified under $100,000. These include refinishing flooring on
the multipurpose courts in the Recreation Center, and five small parking lot projects.
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September 17, 2015
Action
Agenda Item 9.a.(8)
September 17, 2015
INVESTMENT AND CASH MANAGEMENT POLICY
Summary: The current Investment and Cash Management Policy was approved by the Board of
Trustees on June 25, 2009. The NIU investment committee has since pursued investment strategies in
accordance with this policy.
The allowable investments per university policy mirror those specified in State statute. In general terms,
these investments include instruments issued by the U.S. Government, federal agencies, high grade
commercial paper, bank deposits, investment pools created under the State Treasurer's Act, and selected
money market mutual funds.
The NIU Investment Committee monitors compliance with the investment policy and periodically reviews
related investment reports. The committee submits a report on investments to the Board of Trustees on
a quarterly basis. In accordance with the Regulations of the Board of Trustees, funds may be invested in
any investment permitted by the laws of the State of Illinois for the investment of public funds unless
otherwise restricted by a bond or other legal covenant. A statement of investment policy shall be filed
annually with the report on depositories to the Board of Trustees.
The Investment Committee has revised the Investment and Cash Management Policy to include current
position titles, arbitrage rebate calculations, and a section on fund depositories.
Recommendation: The University requests Board of Trustees approval.
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September 17, 2015
NORTHERN ILLINOIS UNIVERSITY
INVESTMENT AND CASH MANAGEMENT POLICY
I. Investment Philosophy
Pursuant to Board of Trustees’ policy and Board Treasurer’s function, it shall be the policy of
Northern Illinois University to manage the university's cash and investments for the use and benefit
of the university in a manner that will:
A. preserve and maintain the real purchasing power of the principal
B. assure an optimal flow of cash to meet university obligations
C. produce a yield which, when compared to current marketplace, would be described as
acceptable by conservative investment managers
while maintaining consistency with applicable State Statutes, and/or bond indentures.
II. Safety
The safety of principal is the primary objective of the university’s investment program. The
university’s Investment and Cash Management Policy provides for diversification among permissible
investments while:
A. Managing market changes
B. Minimizing interest rate risk
C. Mitigating credit risk
D. Managing concentration of credit risk
E. Safeguarding custodial credit risk
F. Controlling foreign currency risk
Interest rate risk is the risk that a change in interest rate will adversely affect the fair value of an
investment. The university mitigates interest rate risk by maintaining adequate cash or cash
equivalent balances that are consistent with expected cash flows of the university, thus minimizing
risk associated with changes in market value and/or interest rate fluctuation. It is prudent to
establish a diversified portfolio with instruments that vary by issuer; by type of security; and by
maturity date.
Credit Risk represents a loss due to the failure of a security issuer to fulfill its obligation to make
interest and/or principal payments in accordance with required dates. By limiting investments, to
only those authorized by the Illinois Public Funds Investment Act (30 ILCS 235), the university’s
exposure to credit risk is mitigated. For example, short-term obligations of corporations organized in
the United States that meet the following criteria at the time of purchase: 1) rated at one of 3
highest classifications as determined by at least two standard rating services, 2) to mature in 180
days or less, 3) such purchases do not exceed 10% of the corporations’ outstanding obligations, and
4) no more than one-third of the university’s funds may be invested in short-term obligations of
corporations.
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September 17, 2015
Concentration of credit risk is managed with diversification of investments, held at any one time, in
the university’s portfolio. The risk of loss due to having a significant portion of university resources
invested in a single issuer is minimized and controlled by limitations as set forth in this investment
policy.
Custodial Credit Risk or the risk of loss due to a financial institution or counterparty failing, in that,
the university would not receive the full value of its deposits held by such party. In accordance with
the Illinois Public Funds Investment Act (30 ILCS 235), public funds on deposit, not covered by FDIC
insurance, require pledged securities to be placed by financial institutions or counterparty. Collateral
agreements are to provide for a third party custodian to hold such pledged securities. To mitigate
custodial credit risk, all pledged securities on behalf of the university are held in an account in the
name of Northern Illinois University.
Foreign currency risk or investments exposed to currency rate fluctuation are controlled by adherence
to the Illinois Public Funds Investment Act (30 ILCS 235).
III. Advisors
The university at its discretion may utilize the services of external advisors to assist in the
management of investments. The choice of advisors shall be determined by the Investment
Committee appointed by the President. This committee shall include, but not be limited to, the Vice
President for Administration and Finance, the Associate Vice President for Finance and Budget, the
Controller, and the Director of Treasury Operations (non-voting).
IV. Limitations
Consistent with State Law and Board of Trustees Policy:
A. Foreign investments are prohibited.
B. Collateralization of Accounts.
Whenever such funds retained by a State university or the Board of Trustees in its own
treasury are deposited with a bank or savings and loan association and the amount of the
deposit exceeds the amount of federal deposit insurance coverage, a bond or pledged
securities shall be obtained. The State Finance Act limits the types of securities the State
Treasurer may accept for amounts not insured by the Federal Deposit Insurance Corporation or
the Federal Savings and Loan Insurance Corporation. The market value of the bond or pledged
securities shall at all times be equal to or greater than the uninsured portion of the deposit.
(30 ILCS 105/6a-1a)
C. With authorization from the Investment Committee, the Associate Vice President for Finance
and Budget may specify investment criteria that are more restrictive than those of this policy.
V. Authorized Investments
A. Board of Trustees
1. Regulations
The Board of Trustees Regulations §V.D.3. allow the combining of funds of the same
category or classification in a single account with an authorized depository as long as the
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September 17, 2015
university's books and records reflect the amount in each fund so deposited and the
charges against each fund.
Any amount of such deposits in excess of the amount reasonably necessary to meet the
anticipated expenses of such funds may be invested in any investment permitted by the
laws of the State of Illinois for the investment of public funds unless otherwise restricted by
a bond or other legal covenant.
In the event of a conflict between the regulations and the requirements of specific bond
resolutions, the latter shall govern.
All funds not required to be paid into the State Treasury shall be deposited in banks
authorized by the Board of Trustees to serve as depositories.
Each year the university shall file with the Board of Trustees a report of beginning
balances, withdrawals, and ending balances for all bank accounts. In addition, a statement
of investment policy shall be filed annually with the report on depositories.
2. Bond Funds and Other Debt Instruments
The Resolutions authorizing the issuance of revenue bonds and other debt instruments
may place restrictions on the investment of these funds. The maturity of investments
purchased should be aligned with drawdown and/or use of funds schedules. The
investments are limited to those permitted by resolution or meet the requirements of this
investment policy.
Consistent with Federal compliance requirements, the Director of Treasury Operations is
responsible for monitoring arbitrage rebate calculations and transmitting any necessary
filings with IRS.
3. Fund Depositories
a. University accounts shall be held in the name of Northern Illinois University.
b. Banking activities will be conducted in a manner that is in compliance with State
Statute and Board of Trustees regulations.
c.
The Board Treasurer is authorized to designate depositories at such locations that
require local banking services away from the Northern Illinois University main
campus. Consistent with Board of Trustees regulations all new depository relationships
require specific board approval.
d. The Board Treasurer is authorized to delegate signature authority for a single specific
purpose bank and/or investment account. The delegation involves university
departments and/or agency relationships within the university.
B. State of Illinois - Investment of Public Funds (30 ILCS 235)
1. The State of Illinois authorizes investments in instruments guaranteed by the full faith and
credit of the United States of America as to principal and interest.
2. The State of Illinois authorizes investments in bonds, notes, debentures, or other similar
obligations of the United States of America or its agencies.
NIU Board of Trustees
37
September 17, 2015
For the purpose of defining permitted investments, the term “agencies of the United States
of America” include:
a. federal land banks, federal intermediate credit banks, banks for cooperative, federal
farm credit banks, or any other entity authorized to issue debt obligations under the
Farm Credit Act of 1971 (12 U.S.C 2001 et seq.) and Acts amendatory thereto;
b. federal home loan banks and the federal home loan mortgage corporation; and
c.
any other agency created by Act of Congress.
3. The State of Illinois authorizes investments in interest-bearing savings accounts,
certificates of deposit or time deposits or any other investments constituting direct
obligations of any bank as defined by the Illinois Banking Act.
4. The State of Illinois authorizes investments in short-term obligations of corporations
organized in the United States with assets exceeding $500,000,000 if
a. such obligations are rated at the time of purchase at one of the three highest
classifications established by at least two standard rating services
b. the maturity is not later than 180 days from the date of purchase
c.
such purchases do not exceed 10% of the corporation's outstanding obligations, and
d. no more than one-third of the public agency's funds may be invested in short-term
obligations of corporations.
5. The State of Illinois authorizes investments in money market mutual funds registered under
the Investment Company Act of 1940, as from time to time amended. The portfolio is
limited to those obligations described in V.B.1 and 2 above and to agreements to
repurchase such obligations.
6. The State of Illinois authorizes investments only in banks which are insured by the Federal
Deposit Insurance Corporation.
7. The State of Illinois authorizes investments in short-term discount obligations of the
Federal National Mortgage Association or in shares or other forms of securities legally
issuable by savings and loan associations which are incorporated under the laws of Illinois
or any other state or under the laws of the United States.
a. Investments may be made only in those savings and loan associations which are
insured by the Federal Savings and Loan Insurance Corporation.
b. Securities may be purchased at the offering or market price at the time of purchase.
c.
Securities shall mature or be redeemable on a date or dates prior to the time when
invested funds will be required for expenditure by the university.
8. The State of Illinois authorizes investment of funds with a credit union chartered under the
laws of the State of Illinois or the United States, provided the principal office of the credit
NIU Board of Trustees
38
September 17, 2015
union must be located within the State of Illinois and the investments must be in accounts
which are insured by applicable law.
9. The State of Illinois authorizes investment of funds in a Public Treasurers' Investment Pool,
commonly known as Illinois Funds, created under Section 17 of the State Treasurer's Act,
15 ILCS 505/17.
Any public agency may also invest any public funds in a fund managed, operated and
administered by a bank.
10. Except for repurchase agreements of government securities having the meaning set out in
the Government Securities Act of 1986 and subject to the provisions of said Act and the
regulations issued thereunder, the State of Illinois does not permit public agencies to
purchase or invest in instruments which constitute repurchase agreements, and no
financial institution may enter into such an agreement with or on behalf of any public
agency unless the instruments and the transaction meet the following requirements:
a. The securities, unless registered or inscribed in the name of the public agency, are
purchased through banks or trust companies authorized to do business in the State of
Illinois.
b. An authorized public employee or officer, after ascertaining which firm will give the
most favorable rate of interest, directs the custodial bank to "purchase" specified
securities from a designated institution. The "custodial bank" is the bank or trust
company, or agency of government, which acts for the public agency in connection
with repurchase agreements involving the investment of funds by the public agency.
The State Treasurer may act as custodial bank for public agencies executing
repurchase agreements. To the extent the Treasurer acts in this capacity, he/she is
hereby authorized to pass through to such public agencies any charges assessed by
the Federal Reserve Bank.
c.
A custodial bank must be a member bank of the Federal Reserve System or maintain
accounts with member banks. All transfers of book-entry securities must be
accomplished on a Reserve Bank's computer records through a member bank of the
Federal Reserve System. These securities must be credited to the public agency on the
records of the custodial bank and the transaction must be confirmed in writing to the
public agency by the custodial bank.
d. Trading partners shall be limited to banks or trust companies authorized to do business
in the State of Illinois or to registered primary reporting dealers.
e. The security interest must be perfected.
f.
The public agency enters into a written master repurchase agreement which outlines
the basic responsibilities and liabilities of both buyer and seller.
g. Agreements shall be for periods of 330 days or less.
h. The authorized public employee or officer of the public agency informs the custodial
bank in writing of the maturity details of the repurchase agreement.
i.
The custodial bank must take delivery of and maintain the securities in its custody for
the account of the public agency and confirm the transaction in writing to the public
NIU Board of Trustees
39
September 17, 2015
agency. The Custodial Undertaking shall provide that the custodian takes possession
of the securities exclusively for the public agency; that the securities are free of any
claims against the trading partner; and any claims by the custodian are subordinate to
the public agency's claims to rights to those securities.
j.
The obligations purchased by a public agency may only be sold or presented for
redemption or payment by the fiscal agent bank or trust company holding the
obligations upon the written instruction of the public agency, public employee or officer
authorized to make such investments.
k.
The custodial bank shall be liable to the public agency for any monetary loss suffered
by the public agency due to the failure of the custodial bank to take and maintain
possession of such securities.
VI. Management of Cash and Investments
A. Except as provided herein, the Director of Treasury Operations, under the direction of the
Associate Vice President for Finance and Budget or the Investment Committee, shall be
authorized to serve as the Chief Investment Officer on behalf of the university. The Director of
Treasury Operations will develop procedures necessary to administer the Investment and Cash
Management Policy.
B. The Director of Treasury Operations will establish written operational procedures and will
develop internal controls appropriate to address loss prevention measures and regulate the
activities of subordinate university staff.
VII. Disbursements and Transfers
There shall be a requirement for two designated individuals to authorize transactions related to
investment settlements and/or cash transfers. Assigned employees may be delegated authority to
initiate appropriate transfers of university investment assets and funds provided suitable
safeguards and security considerations are followed in conducting such transactions.
VIII. Accountability and Reporting
A. The Associate Vice President for Finance and Budget shall be accountable to the Investment
Committee for implementing this policy.
B. The Director of Treasury Operations shall make reports on the status of investments and cash
management to the Committee at intervals established by the Investment Committee.
C. The Associate Vice President for Finance and Budget will review investment data with the
Treasurer of the Board of Trustees at intervals established by the Investment Committee.
D. The Investment Committee will report quarterly to the Board of Trustees and the university
President concerning the status and results of investment activity. At a minimum, the reports
shall include information regarding securities held in the portfolio by class or type, income
earned, book value, and market value as of the report date.
E. The Director of Treasury Operations will make available online information concerning
investment of public funds in accordance with the State of Illinois Finance Act (30 ILCS 237) –
Accountability for the Investment of Public Funds Act.
NIU Board of Trustees
40
September 17, 2015
IX. Ethics and Conflicts of Interest
In accordance with Northern Illinois University Board of Trustees regulations, all employees are
responsible for compliance with applicable state and federal laws, university policies, and including
the State Officials and Employees Ethics Act.
University employees involved in the investment process shall refrain from any actions and/or
activity that would be in conflict with the proper execution of the investment program.
X. Adoption and/or Modification of Investment Policy
A. The Investment and Cash Management Policy and revisions shall be approved by the Northern
Illinois University Board of Trustees.
B. The Investment and Cash Management Policy shall be made available upon request to the
general public.
NIU Board of Trustees
41
September 17, 2015
Action
Agenda Item 9.a.(9)
September 17, 2015
DEPARTMENT OF PSYCHOLOGY SUBCONTRACT AMENDMENT
Approver/Requester: M. Anne Britt
Summary: The Department of Psychology received a grant from the University of Illinois at Chicago for
a project titled “Reading for Understanding Across Grades 6-12; Evidence-based Argumentation for
Disciplinary Learning“. A subcontract was issued to DePaul University for work on the project including
the design of text evaluation software, and other research services, for the period of July 1, 2010 through
June 30, 2015. The grant has been extended for an additional year. The funding has been re-budgeted
to allow for an extension of this subcontract to include additional services for the period through June 30,
2016. Original approval was given on 9/15/11. This order is exempt from the Illinois Procurement Code
because the vendor is named in the grant.
Funding: Sponsored Projects, G4A63051
Recommendation: The University requests Board of Trustees approval of expenditure authority for FY
2016 as follows:
DePaul University – Chicago, IL
Original Amount
Amendment
New Order Total
$265,200
$ 28,116
$293,316
NIU Board of Trustees
42
September 17, 2015
Information
Agenda Item 9.b.(1)
September 17, 2015
2014-2015 FACULTY EMERITUS RECOGNITON
Universities have a long tradition of granting emeritus status to faculty who retire in good standing.
Northern Illinois University has created a regular process for the identification of retirees for whom the
emeritus designation is appropriate. A list of ranked faculty who have announced or finalized retirements
during the fiscal year is prepared annually by Human Resource Services and reviewed by the Provost for
presentation to the Board of Trustees. The university hereby informs the Board of Trustees of the retired
faculty members designated as emeritus for FY2015.
The faculty being granted emeritus status, with their departments, ranks, any special status, and dates of
retirement are as follows:
Rank and Special
Retirement
Name
Department
Status
Date
Allmendinger,Leif
School of Art and Design
Associate Professor
6/30/2014
Blecksmith,Richard F
Mathematical Sciences
Professor
6/16/2014
Brandt,Karen
Nursing & Health Studies
Associate Professor
6/30/2014
Cappell,Charles L
Sociology
Associate Professor
6/1/2015
Ciallella,Louise E
Foreign Language & Literature
Associate Professor
6/1/2015
Doederlein,Sue W
College of LA&S
Associate Professor
6/30/2014
Fox,Eva C
College of Education
Professor
9/1/2014
Gabris,Gerald T
Public Administration
Professor - PTP
6/1/2015
Garcia,Clersida
Kinesiology & Physical Educ
Professor
6/30/2014
Garcia,Luis E
Kinesiology & Physical Educ
Associate Professor
6/30/2014
Greene,Richard P
Geography
Associate Professor
10/1/2014
Hertz,Judith E
Nursing & Health Studies
Professor
6/1/2015
Holly,Richard T
College of Visual & Perfm Arts
Professor
6/1/2015
Jensen,Gerald R
Finance
Professor - BOT
6/1/2015
Karlson,Stephen H
Economics
Associate Professor
6/30/2014
Kelter,Paul B
Literacy and Elementary Ed
Professor - PRP
6/30/2014
Kim,Meung Jung
Mechanical Engineering
Professor
6/1/2015
Kolb,Michael John
Vice Provost
Professor - PTP
1/1/2015
Kostic,Milivoje
Mechanical Engineering
Professor
6/16/2014
Lingham,Rama T
Statistics
Associate Professor
1/1/2015
Looney,Marilyn Ann
Kinesiology & Physical Educ
Professor
6/30/2014
Lovejoy,Mary Christine
Psychology
Associate Professor
6/30/2014
Marchewka,Jack Theodore
Oper Mgmt & Info Sys
Professor
6/1/2015
Mohabbat,Khan A
Economics
Professor
6/1/2015
Porter-Hudak,Susan
Economics
Associate Professor
6/29/2014
Schlabach,Gretchen A
Kinesiology & Physical Educ
Professor
6/30/2014
Smaldino,Sharon E
Partnership Office
Professor
5/16/2015
Tollerud,Toni Rae
Counseling, Adult & Higher Ed
Professor - PTP
6/1/2015
Unger,Daniel H
Political Science
Associate Professor
1/1/2015
Von Ende,Carl N
Biological Sciences
Associate Professor
6/30/2014
Waas,Gregory A
Psychology
Associate Professor
6/1/2015
Woo,Peng-Yung
Electrical Engineering
Professor
1/1/2015
NIU Board of Trustees
43
September 17, 2015
Information
Agenda Item 9.b.(2)
September 17, 2015
PROFESSIONAL EXCELLENCE AWARDS FOR FACULTY AND STAFF
The university sponsors a number of programs designed to recognize excellence in faculty and staff
performance. One faculty member received the Board of Trustees Award, selected by a committee
chaired by the Executive Vice President and Provost. Two faculty members are recognized as Presidential
Teaching Professors, selected by a faculty and alumni committee chaired by the Vice Provost. Three
faculty members are also recognized as Presidential Research Professors, selected by a faculty committee
chaired by the Vice President for Research and Innovation Partnerships. Two additional faculty members
are recognized as Presidential Engagement Professors, selected by a committee composed of members of
the Outreach Advisory Committee, a dean, a student, and faculty chaired by the Vice President of
Outreach, Engagement, and Information Technologies. Another three faculty members received the
Excellence in Undergraduate Teaching Award, and one instructor received the Excellence in
Undergraduate Instruction Award, through a selection process initiated by students and reviewed by
student advisory committees in each college, with the final decision made by the university-level
Committee on the Improvement of Undergraduate Education. The Operating Staff and Supportive
Professional Staff Councils each selected four employees for recognition following a university-wide
nomination process coordinated by a subcommittee of each council.
2015 Board of Trustees Professorship Awards
John Skowronski
Professor, Psychology
2015 Presidential Teaching Professors
Gulsat Aygen
James Schmidt
Professor, English
Professor, History
2015 Presidential Research Professors
Sanjib Basu
Anne Britt
Aaron Fogleman
Professor, Statistics
Professor, Psychology
Professor, History
2015 Presidential Engagement Professors
Judy Ledgerwood
Kurt Thurmaier
Professor, Anthropology
Professor, Public Administration
2015 Excellence in Undergraduate Teaching Award Recipients
Steven Daskal
Amanda Durik
James Horn
Associate Professor, Philosophy
Associate Professor, Psychology
Associate Professor, Chemistry and Biochemistry
2015 Excellence in Undergraduate Instruction Award Recipient
Timothy Dimond
Instructor, Accountancy
2015 Operating Staff Outstanding Service Award Recipients
Christina Atherton
Administrative Assistant, Executive Vice President and Provost
NIU Board of Trustees
44
September 17, 2015
Margaret Berg
Patricia Erickson
Katherine Zuidema
Office Manager, Accountancy
Administrative Assistant, University Council
Graduate Placement Officer, Career Services
2015 Presidential Supportive Professional Staff Award for Excellence Recipients
Patricia Anderson
Benjamin Bingle
Elizabeth Hull
Jennifer Kirker Priest
Director, Alumni Relations
Specialist/Outreach Coordinator, Non-Governmental Organization
Leadership and Development
Assistant to the Dean, College of Education
Director, Anthropology Museum
NIU Board of Trustees
45
September 17, 2015
Information
Agenda Item 9.b.(3)
September 17, 2015
FISCAL YEAR 2015 REPORT OF TUITION AND FEE WAIVERS
The Illinois Board of Higher Education issued Tuition and Fee Waiver Guidelines for Illinois Public
Universities in June 1999, which was amended in February 2000. These guidelines include the
requirement that tuition and fee waivers granted during the fiscal year be reported to each university’s
Board of Trustees. Pursuant to that requirement, the university has prepared the following report.
TUITION AND FEE WAIVERS
FISCAL YEAR 2015
($ in thousands)
(1)
The unfunded portion of Illinois Veterans Grants (ISAC), Illinois National Guard Grants (ISAC), POW/MIA Scholarships (Department of
Veterans Affairs), and Dependents of Fire, Police and Correctional Officers Grants (ISAC).
NIU Board of Trustees
46
September 17, 2015
Information
Agenda Item 9.b.(4)
September 17, 2015
FISCAL YEAR 2015 REPORT ON CAPITAL ACTIVITIES
The following report summarizes all capital projects approved from Fiscal Year 2009 through Fiscal Year
2015. These projects were approved by authorization from the following:
1)
2)
3)
4)
The Board of Trustees
The President as delegated by the Board
The Vice President of Administration and Finance as delegated by the President
Appropriation by the State of Illinois to the Capital Development Board for Northern
Illinois University
This report is required by the Board of Trustees Regulations and supplements quarterly and semiannual
reports on capital projects. The format and data of this report are intended to summarize all capital
improvements by Fiscal Year and establish historical perspective.
The chart titled Approved Capital Projects by FY/Fund Source (Table 1) illustrates fund sources for capital
improvements from FY2009 to FY2014. In Fiscal Year 2009, the Board approved two projects in excess
of $1.0 million: $14.85 million for the renovation of Grant Towers and $1.71 million for the East Heating
Plant Steam Tunnel Renovation. There were four project approvals between $500,000 and $1,000,000:
$956,000 for the renovation of the new Academic Advising Center, $800,000 for the central chilled water
production project to replace grant funds no longer available from the State of Illinois DCEO, and
$525,000 to establish a new budget for MLK Commons Renovation that combines $218,000 of CDB
funding with $307,000 of institutional funding.
The Board approved $596,000 for the repair,
improvement, or replacement of six parking lot and sidewalk projects. There were five projects between
$100,000 and $250,000 that totaled $828,200 and 28 projects under $100,000. There were thirteen
repair and remodeling projects completed for research, learning, classroom, and support spaces.
Included in those thirteen projects were five smart classroom remodeling projects.
Approved Capital Projects by FY/Fund Source
Table 1
120
100
80
60
40
20
0
FY09
FY10
FY11
FY12
Capital Development Board
NIU Board of Trustees
FY13
FY14
Revenue Bond Funds
Other *
47
September 17, 2015
In Fiscal Year 2010, the Board approved three projects in excess of $1.0 million: $22 million for the
renovation of Stevens Building, $6 million for the renovation of Cole Hall, and $2 million for a new lecture
hall to be part of the Cole-Stevens Complex. There were no project approvals between $500,000 and
$1,000,000. There were four project approvals between $100,000 and $250,000 that totaled $643,498
and 19 projects under $100,000 were approved. There were eleven repair and remodeling projects
approved for research, learning, classroom, and support spaces. Included in those eleven projects were
four smart classroom remodeling projects.
In Fiscal Year 2011, the Board approved seven projects in excess of $1.0 million: $85.76 million for
projects related to Campus Non-instructional Modernization and Capacity Improvement, $7 million for the
renovation of parking facilities, $5.24 million for a new Outdoor Recreation Facility, $3.00 million for
Grant Tower Renovation Phase I, $2.88 million for Electrical Infrastructure upgrades, $2.69 million for
Stevenson Fire Sprinkler System and $1.74 million approval of CDB Funds for Roof Replacement on seven
general revenue buildings. There was one project between $500,000 and $1,000,000: $970,000 was
approved for the roof replacement at Holmes Student Center. There were two project approvals between
$250,000 and $500,000 that totaled $692,000: $365,000 for Campus Alert Phase II, and $327,000 to
repair the building envelope at Lincoln Hall. There were three project approvals between $100,000 and
$250,000 that totaled $601,932 and twenty seven projects under $100,000 were approved. There were
ten repair and remodeling projects approved for research, learning, classroom, and support spaces.
In Fiscal Year 2012, the Board approved two projects in excess of $1.0 million: $3.30 million for Huskie
Stadium scoreboard, $1.80 million for campus 100% wireless coverage. In addition, the Capital
Development Board approved a budget increase of $2.90 million for Stevens Building Renovation. There
was one project between $500,000 and $1,000,000: the CDB approved a budget increase of $572,600 for
roof replacements on seven campus buildings. There was one project approval between $250,000 and
$500,000: $385,000 for Campus Alert Phase III. There were ten project approvals between $100,000
and $250,000 that totaled $1,799,048, there were twenty seven projects under $100,000 approved,
fourteen of which were under $25,000. There were eight repair and remodeling projects approved for
research, learning, classroom, and support spaces. Notable projects include the new DOD super
computer for Computer Science, 100% wireless coverage for campus, three smart classrooms and a new
laboratory for Computer Science.
In Fiscal Year 2013, the Board approved two projects in excess of $1.0 million: $2.58 million for Electrical
Infrastructure and $1.25 million for Campus Alert Systems. In addition, Campus maintenance projects
totaled $1.65 million for general campus improvements. There was one item between $500,000 and
$1,000,000 approved by the Board: $650,000 for new electronic advertising fascia boards at Huskie
Stadium. There was one project between $250,000 and $500,000: $270,985 for emergency repairs of
the entry plaza/mechanical room deck at Montgomery Hall. There were fifteen project approvals between
$100,000 and $250,000 that totaled $2,430,729 and there were twenty-three projects under $100,000
approved, nine of which were under $25,000. There were ten repair and remodeling projects approved
for research, learning, smart classroom, and support spaces. Notable projects include the new entry door
system for Founders Library, four smart classrooms and a renovated temporary Anthropology lab space
for use during the renovation of Stevens Building.
In Fiscal Year 2014, the Board approved two projects in excess of $1.0 million: $2.25 million for a new
Public Safety radio system and $1.38 million for Electrical Infrastructure. In addition, Campus
maintenance projects totaled $1.59 million for general campus improvements. There was one project
between $250,000 and $500,000: $450,000 for new “beta version” small bus transit system for central
campus. There were ten project approvals between $100,000 and $250,000 that totaled $1,685,620 and
there were fifty projects under $100,000 approved, thirty of which were under $25,000. There were
twenty repair and remodeling projects approved for research, learning, smart classroom, and support
spaces. Notable projects include three smart classrooms, the new walk-in cooler for Geology research in
Davis Hall and a new computerized video message board system for the College of Education.
NIU Board of Trustees
48
September 17, 2015
Reviewing the same six-year period by project category (Table 2) confirms the university’s commitment
to repair and renovation of existing facilities and the upgrade of infrastructure to serve the campus.
Notable new construction occurred in Fiscal Year 2011 with approval to construct the new $5.24 million
Outdoor Recreation Facility.
The vast majority of capital resources FY2009 to FY2014 were directed to upgrading campus
infrastructure and adapting facilities to meet the needs of current programs.
Infrastructure
improvements, repair and renovation include all facility improvements not directly associated with
construction of new facilities. Projects such as roof replacements, boiler and chiller replacements,
extension of utility tunnels, street resurfacing and parking lot reconstruction are all considered
infrastructure improvements, repairs, or renovation. The entire six-year period underscores these efforts.
Capital Projects by FY/Category
Table 2
120
100
80
60
40
20
0
FY09
FY10
FY11
FY12
FY13
FY14
Infrastructure Improvement
Repair and Renovation
New Facilities
NIU Board of Trustees
49
September 17, 2015
Total capital funding approved in Fiscal Year 2015 was $9.7 million. Table 3 illustrates the makeup of
capital projects by funding sources for FY 2015.
Ap pr ov ed Cap ital Pr ojects by Fun d So u rce-FY 2 015
Ta ble 3
$ 5 .0 M i llio n
N on e
$ 2 .0 M illio n
$ 2 .7 M illio n
C apita l De ve lopm en t B o ard (N o ne)
Re ve nue B o nd
Othe r (Lo ca l, F ou ndatio n, & G rant Fun ds )
G ene ra l Re ve nue & Inco m e F und
Table 4 (shown on the next page) tracks approved capital funding by Fiscal Year and Fund Source. The
chart clearly shows the dramatic decrease in capital funding approval beginning in FY2012. In FY2009
capital funding of $20.95 million was approved, and $36.36 million in FY2010. Capital Development
Board funding in FY 2009 funds included MLK Commons and the East Heating Plant steam tunnel. The
FY2009 increase in Bond Revenue approval was for Grant Tower renovation. Funding approved in
FY2010 was $36.36 million. Capital Development Board funding in FY 2010 of $30.5 million represents
the appropriation of $8 million for Cole Hall renovation and a $22.5 million appropriation for Stevens
Building renovation. FY2010 Bond Revenue funding approval was dramatically reduced from previous
years to $230,000. Funding approved in FY2011 was $111.39 million. This large increase in funding
approval over previous fiscal years is due to the $98 million approved for Campus Non-instructional
Modernization and Capacity Improvement Bond Revenue projects. Capital Development Board funding in
FY2011 of $1.74 million was directed toward deferred maintenance for seven roof replacements.
Approval of $4.08 million of Appropriated and Other funds was directed mainly toward emergency
electrical repairs, campus alert systems and electrical infrastructure replacement.
NIU Board of Trustees
50
September 17, 2015
Funding approved in FY2012 was $11.52 million, a significant reduction from the previous year. FY2012
Capital Development Board funding of $3.48 million added funds for Stevens and roof replacements.
Bond funding of $4.87 million includes Stadium scoreboard upgrade and wireless coverage for residence
halls. The $3.17 million approval of Appropriated and Other funds was directed mainly toward campus
alert systems and wireless internet coverage for general revenue buildings. Funding approved in FY2013
was $9.71 million, near the previous year’s approval level. No Capital Development Board funding was
approved. Approval of $6.72 million of Appropriated funds provided campus maintenance, electrical
infrastructure, and campus alert systems. Funding approved in FY2014 was $8.7 million, down slightly
from previous years. No Capital Development Board funding was approved. Approval of $7.5 million of
Appropriated and Other funds was directed toward campus maintenance, electrical infrastructure, and a
new police radio system. In FY2015 $9.7 million in capital funding was approved, very close to the
approval level of the last two fiscal years. As in recent years, there was no Capital Development Board
funding approved. Approved Revenue Bond funding of $5.0 million included $1.5 million for planning the
renovation of Holmes Student Center and Neptune Residential Complex. Again in FY2015, the $4.7
million of Appropriated and Other funds were mainly directed toward remodeling, campus maintenance
and several small “Campus Initiative” projects which refreshed and updated areas within the central core
of campus.
Capital Projects by FY/Fund Source
Table 4
120
100
80
60
40
20
0
FY09 FY10 FY11 FY12 FY13 FY14 FY15
Capital Development Board
Revenue Bond Funds
Other
NIU Board of Trustees
51
September 17, 2015
A review of Fiscal Year 2015 by the category of capital improvement undertaken (Table 5) shows the
institution’s dedication to renovating facilities and upgrading existing infrastructure. The Board approved
one FY2015 project in excess of $1.0 million: $1.5 million for planning the renovation of Holmes Student
Center and Neptune Residential Complex. There were two projects over $500,000: Grant Central Roof
Replacement at $812,000 and renovation of the Animal Research Facilities located in Psychology /
Computer Science and Montgomery Hall at $850,000. Maintenance project approvals totaled $3.03
million for general campus improvements with an additional $373,071 approved for two emergency
repairs.
There were five projects between $250,000 and $500,000. Most notable were two projects at Huskie
Stadium: $460,000 for a new turf field and $300,000 for additional LED advertising ribbon boards.
There were twenty-one project approvals between $100,000 and $250,000 that totaled $4,760,342 and
there were forty-nine projects under $100,000 approved, thirty of which were under $25,000. There
were seventeen repair and remodeling projects approved for academics, research, smart classrooms, and
support spaces. Notable projects include the renovation of the Animal Research Facilities for Psychology
and Biology, nine smart classrooms and classroom upgrades, additional compact storage for the
Anthropology Museum, the first electric car charging station on campus, and this year one new facility
was added, a new salt shed for Grounds Department to help manage purchasing and storing of winter
de-icing salt.
Capital Projects by Category-FY2015
Table 5
$0.10 Million
$7.8 Million
$0.13 Million
$1.7 Million
New Facilities
Infrastructure Improvements
Repair and Renovation
Planning
NIU Board of Trustees
52
September 17, 2015
Information
Agenda Item 9.b.(5)
September 17, 2015
FISCAL YEAR 2015 ANNUAL REPORT OF
TRANSACTIONS INVOLVING REAL PROPERTY
Number of
Transactions
Transaction
Percentage
21
96%
$511,352.49
83%
$100,000-$250,000
1
4%
$104,400.00
17%
Over $250,000
--
--
22
100%
Leases
Under $100,000
Total
Dollar
Volume
-$615,752.49
Dollar
Percentage
-100%
NIU Board of Trustees
53
September 17, 2015
Information
Agenda Item 9.b.(6)
September 17, 2015
FISCAL YEAR 2015 ANNUAL REPORT OF CASH AND INVESTMENTS
FOR PERIOD JULY 1, 2014 THROUGH JUNE 30, 2015
This report is required by Board of Trustees Regulations and is submitted annually.
The Investment Committee is responsible for monitoring compliance with the university Investment and
Cash Management Policy. The investment goals, as stated in the policy, are to insure the preservation of
principal and maintain compliance with applicable state laws, rules, regulations, debt covenants and
Board of Trustees Regulations while meeting cash flow needs and earning a yield acceptable to
conservative investment managers.
The university investments are made from the following cash entity groups: (1) debt service reserve
funds; (2) equipment reserve funds; (3) escrow and trust funds; (4) locally generated revenues, including
tuition and fees; (5) project funds; (6) repair and replacement reserve funds; and (7) self-insurance
funds.
The schedules included with this report are:




Report of Depositories
Investment Holdings as of June 30, 2015
Investment Holdings Summary as of June 30, 2015
Investment Earnings by Investment Type and Duration
NIU Board of Trustees
54
September 17, 2015
Northern Illinois University
REPORT OF DEPOSITORIES
For the Year Ended June 30, 2015
Beginning
Balance
7/1/2014
Amalgamated Bank - Chicago
Series 2010 Build America Bonds
Series 2011 Revenue Bonds
Series 2014 Certificates of Participation
Bank of New York Mellon
Series 1993, Certificates of Participation
Castle Bank - DeKalb
Investment
Project Funds
National Bank & Trust- Sycamore
Payroll Account
Deposit Account
Investment Account
Disbursement Account
Payment Account
EFT Account
Credit Card Account
US Bank- Minneapolis
Series 1992 Revenue Bonds
Deposits*
Withdrawals*
Ending
Balance
6/30/2015
$14,033,914.71
$0.00
$2,648.57
$14,036,563.28
$22,532,345.22
$3,338,762.50
$472,469.99
$26,343,577.71
$27,025,775.00
$3,338,762.50
$472,908.15
$30,837,445.65
$9,540,484.93
$0.00
$2,210.41
$9,542,695.34
$650,170.00
$679,536.41
$679,322.73
$650,383.68
$1,486,865.66
$2,787,678.15
$4,274,543.81
$56,016,627.99
$30,089,418.37
$86,106,046.36
$54,042,046.48
$32,559,319.28
$86,601,365.76
$3,461,447.17
$317,777.24
$3,779,224.41
$106,088.09
49,509.27
11,974,194.22
49,695.90
160,506.72
4,663.82
49,992.00
$161,508,533.05
386,874,782.70
486,581,472.41
147,007,086.45
423,401,680.07
75,178.00
64,593,130.52
$161,523,242.13
386,874,724.22
485,359,644.50
147,007,064.85
423,175,291.36
79,841.82
64,593,130.52
$91,379.01
49,567.75
13,196,022.13
49,717.50
386,895.43
0.00
49,992.00
$12,394,650.02
$1,670,041,863.20
$1,668,612,939.40
$13,823,573.82
$3,730,000.00
$3,730,000.00
$0.00
$0.00
US Bank- Springfield
NIU Operations- IL Funds
$47,171,160.10
$153,756,742.07
$157,700,310.32
$43,227,591.85
Total For All Banks:
$78,527,087.21
$1,936,927,765.75
$1,944,431,383.86
$71,023,469.10
* Deposits and Withdrawals include interaccount transfers.
The balances and activity reflected on this report are taken from bank statements and may not necessarily reflect those amounts
recorded in the university financial records due to reconciling items.
NIU Board of Trustees
55
September 17, 2015
NORTHERN ILLINOIS UNIVERSITY
INVESTMENT HOLDINGS AS OF JUNE 30, 2015
For Fiscal Year 2015
Bond
Investment
Type
Local Funds:
Treasury
Treasury
Federal Agency
Federal Agency
Federal Agency
Treasury
Federal Agency
Federal Agency
Federal Agency
Treasury
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Federal Agency
Maturity
Date
Maturity
Value
07/15/2015
10/15/2015
10/15/2015
11/02/2015
11/30/2015
12/15/2015
01/25/2016
09/21/2016
10/11/2016
11/15/2016
11/21/2016
11/29/2016
12/09/2016
01/11/2017
01/30/2017
02/24/2017
03/06/2017
04/11/2017
05/16/2017
06/13/2017
06/19/2017
07/25/2017
07/28/2017
08/07/2017
08/21/2017
10/10/2017
11/28/2017
12/11/2017
12/18/2017
01/30/2018
02/26/2018
03/12/2018
04/30/2018
04/30/2018
05/18/2018
05/18/2018
05/18/2018
05/25/2018
06/05/2018
06/20/2018
06/22/2018
08/13/2018
02/05/2019
02/19/2019
08/15/2019
11/15/2019
$
Project Funds:
Treasury
Treasury
Treasury
Treasury
Treasury
Treasury
Treasury
Treasury
Treasury
09/30/2015
10/31/2015
10/31/2015
11/30/2015
11/30/2015
11/30/2015
12/31/2015
01/31/2016
06/15/2016
$
$
Money Markets:
IL Funds-Operations
Amalgamated Bank
06/30/2015
06/30/2015
TOTAL INVESTMENT HOLDINGS
NIU Board of Trustees
$
Purchase
Date
2,000,000
2,500,000
2,000,000
2,000,000
1,000,000
1,000,000
1,500,000
2,500,000
2,000,000
3,000,000
1,500,000
2,500,000
1,500,000
3,500,000
2,000,000
3,000,000
1,500,000
3,500,000
2,000,000
2,500,000
1,000,000
2,000,000
1,500,000
3,000,000
2,000,000
3,500,000
3,000,000
1,000,000
2,000,000
3,000,000
2,000,000
1,500,000
1,000,000
2,000,000
2,500,000
2,500,000
2,500,000
3,000,000
2,000,000
2,000,000
3,000,000
3,000,000
2,000,000
2,500,000
2,812,500
3,000,000
102,312,500
05/31/2013
09/27/2013
07/30/2014
08/13/2014
09/12/2014
09/25/2013
09/12/2014
03/21/2013
10/11/2012
01/31/2014
11/21/2012
11/30/2012
12/11/2013
10/24/2012
02/26/2013
02/24/2015
03/13/2013
10/24/2012
05/16/2013
06/26/2013
12/11/2013
04/25/2013
02/06/2015
02/26/2013
11/21/2012
10/10/2012
05/28/2013
09/12/2014
12/18/2013
01/30/2013
02/26/2015
03/13/2013
10/24/2014
05/31/2013
06/12/2015
06/26/2015
05/21/2015
05/30/2013
11/25/2014
06/21/2013
06/22/2015
02/18/2015
02/13/2015
02/21/2014
09/27/2013
04/24/2015
3,000,000
2,500,000
2,000,000
1,500,000
1,500,000
2,000,000
3,000,000
3,000,000
3,000,000
21,500,000
02/17/2015
01/15/2015
11/19/2014
02/06/2015
02/20/2015
11/24/2014
11/24/2014
11/24/2014
04/09/2015
$
43,227,592
9,540,485
52,768,077
$
176,580,577
Book
Value
$
$
56
$
Equivalent
Rate
2,002,707
2,502,815
2,000,931
2,000,814
1,000,021
1,000,809
1,502,450
2,503,553
2,000,356
3,009,295
1,498,015
2,499,372
1,498,748
3,493,743
2,005,792
3,008,188
1,502,124
3,492,599
1,995,465
2,495,988
1,001,173
1,994,993
1,496,869
2,989,980
1,998,738
3,482,517
2,970,070
998,494
2,002,703
2,991,571
1,997,144
1,490,608
994,568
1,980,929
2,497,084
2,498,159
2,498,160
2,974,500
1,992,158
1,996,984
2,993,572
3,009,735
1,993,718
2,520,742
2,784,869
2,975,005
102,138,828
0.294%
0.353%
0.200%
0.180%
0.222%
0.394%
0.303%
0.580%
0.626%
0.642%
0.600%
0.640%
0.679%
0.669%
0.733%
0.700%
0.750%
0.730%
0.715%
1.330%
1.000%
0.740%
0.799%
0.878%
0.800%
0.900%
0.800%
1.258%
1.218%
1.040%
1.051%
1.030%
1.224%
1.130%
1.150%
1.130%
1.125%
1.050%
1.315%
1.470%
1.150%
1.350%
1.452%
1.713%
2.140%
1.650%
3,003,385
2,522,824
1,982,220
1,501,368
1,501,368
2,001,824
3,001,820
3,008,893
3,006,356
21,530,058
0.072%
0.116%
0.101%
0.106%
0.104%
0.108%
0.147%
0.170%
0.275%
0.051%
0.010%
3,001,342
2,501,123
2,001,000
1,500,905
1,500,919
2,001,192
3,001,556
3,003,608
3,006,460
21,518,105
$
$
$
43,227,592
9,540,485
52,768,077
$
43,227,592
9,540,485
52,768,077
$
176,474,721
$
176,436,963
$
06/30/2015
06/30/2015
1,999,964
2,499,246
2,000,174
2,000,307
999,949
999,337
1,500,314
2,500,000
1,999,837
2,999,305
1,500,000
2,500,000
1,500,000
3,498,473
1,998,946
3,000,000
1,500,000
3,498,181
1,999,062
2,475,345
1,000,000
2,000,000
1,501,576
2,998,223
2,000,000
3,500,000
3,000,000
999,811
2,001,544
2,999,222
1,997,340
1,500,000
994,357
1,993,084
2,499,754
2,499,377
2,500,000
3,000,000
1,999,169
1,987,349
3,000,000
3,000,000
1,997,736
2,503,189
2,748,368
3,000,000
102,188,539
Market
Value
$
$
September 17, 2015
NIU Board of Trustees
57
September 17, 2015
NORTHERN ILLINOIS UNIVERSITY
INVESTMENT EARNINGS BY TYPE AND DURATION
For Fiscal Year 2015
July 1, 2014 - June 30, 2015
Average Daily
Investment
Balance
Percent
of
Portfolio
Annualized
Rate of
Return
Income
Earned
Short-Term Investment Accounts
Illinois Funds
$
36,734,046
18.07%
$
6,272
0.017%
Investment Accounts - Financial Institutions
$
33,195,477
16.33%
$
25,395
0.077%
Investment Accounts - Project Funds
$
12,496,925
6.15%
$
1,044
0.008%
ST Investment Accounts Total
$
82,426,448
40.55%
$
32,711
0.040%
ST Investment Accounts Average Yield
Fixed Income Securities
Local Funds
$
98,528,879
48.46%
$
853,368
0.866%
Project Funds
$
22,345,050
10.99%
$
38,181
0.171%
$ 120,873,929
59.45%
$
891,549
Fixed Income Securities Total
0.738%
Fixed Income Securities Average Yield
COMBINED TOTAL
$ 203,300,377
AVERAGE ANNUALIZED RATE OF RETURN
100.00%
$
924,260
0.45%
NIU Board of Trustees
58
September 17, 2015
Action
Agenda Item 9.b.(7)
September 17, 2015
QUARTERLY SUMMARY REPORT OF TRANSACTIONS IN EXCESS OF $100,000
FOR THE PERIOD APRIL 1, 2015 TO JUNE 30, 2015
Purchase
Amount
No. of
Transactions
$100,000
to
$250,000
TRANSACTIONS DETAIL:
100
Appropriated
Non-Appropriated
Total
$500,000
$17,325,351
$17,825,351
Purchases:
1. Division of Marketing and Communications - Contract for Chicagoland public relations
representation. This engagement provides for promotion of Northern Illinois University
specific to the greater Chicagoland area in an effort to bolster name brand recognition
and drive increased enrollment and alumni awareness. The proposed contract is the
result of RFP #JLT152459 which opened October 29, 2014. The award for an initial term
beginning March 18, 2015, and ending June 30, 2015, with nine one-year renewal options
has been advertised on the Illinois Public Higher Education Procurement Bulletin and the
PPB waiver has been received. FY15 (ASGK Public Strategies LLC, Chicago, IL)
200,000*
2. Department of Elementary and Literacy Education - Contract with ELS Educational
Services, Inc., d/b/a ELS Language Centers located on the NIU campus to provide classes
to improve Ecuadorian scholars’ English skills. Kansas State University is subcontracting
with NIU, through an Ecuadorean government program award to provide scholarships for
professional development for Ecuadorean English educators, under a grant award project
titled, “Go Teacher Development Program”. NIU is hosting a number of Ecuadorian
professionals, providing a seven-month program of immersion in speaking and teaching
English. The ELS Language Center classes are a part of that program. This order is
exempt from the Illinois Procurement Code, because the vendor is named in the grant.
FY15 (ELS Language Centers, DeKalb, IL)
210,715
3. Housing and Dining Services - To purchase satellite cable television programming content
and services for NIU for FY16. Housing and Dining Services administers cable TV
programming for three distinct operations on campus: (1) General Housing provided by
the University (i.e., residence halls, summer conference rooms, and HSC hotel guest
rooms); (2) Northern View Community; and (3) the New Residence Hall complex. This
satellite cable TV programming content is broadcast over NIU’s existing Cable TV system
infrastructure and includes approximately 30 channels of television programming content
which includes educational, sports, music, entertainment, and public-service options. This
is the second of nine one-year renewal options based on a bid that opened on November
15, 2012. The renewal award will be advertised in the Illinois Public Higher Education
Procurement Bulletin. FY16 (Campus Televideo Inc., Stamford, CT fka Lamont Digital
Systems)
210,900
NIU Board of Trustees
59
September 17, 2015
4-50. Physical Plant and Architectural & Engineering Services - Issue open orders for
miscellaneous project and maintenance work to be done as needed on campus for the
period July 1, 2015 – June 30, 2016. Services to be provided include, but are not limited
to, mechanical, excavating, electrical, general construction, moving, fire systems, roofing,
etc. Various contractual services bids were completed to select vendors. The renewal
awards were advertised in the Illinois Public Higher Education Procurement Bulletin and
have been waived by the PPB. FY16
Planes Moving & Storage, Aurora, IL
PO #154566
$225,000
Hollander Intl Storage & Moving, Elk Grove Village, IL
PO #155036
$100,000
Hollander Intl Storage & Moving, Elk Grove Village, IL
PO #154564
$225,000
Cooling Land Concepts, Cherry Valley, IL
PO #154488
$175,000
Cooling Land Concepts, Cherry Valley, IL
PO #154508
$125,000
Otto Baum Co. Inc., Morton, IL
PO #155071
$100,000
Otto Baum Co. Inc., Morton, IL
PO #154539
$249,000
Freeport Industrial Roofing, Inc., Freeport, IL
PO #155078
$175,000
Freeport Industrial Roofing, Inc., Freeport, IL
PO #154485
$125,000
EHC Industries, Inc., Wauconda, IL
PO #154482
$125,000
EHC Industries, Inc., Wauconda, IL
PO #155408
$200,000
SL Webb Electric, Inc., Sycamore, IL
PO #154492
$225,000
Rush Power Systems LLC, Kirkland, IL
PO #154516
$100,000
Rush Power Systems LLC, Kirkland, IL
PO #155045
$100,000
Pecover Decorating Service, Aurora, IL
PO #154520
$100,000
Pecover Decorating Service, Aurora, IL
PO #154497
$200,000
McCauley Mechanical Construction, Inc., Bridgeview, IL
PO#154523
$100,000
McCauley Mechanical Construction, Inc., Bridgeview, IL
PO #155001
$150,000
Driessen Construction, St Charles, IL
PO #154481
$249,000
Driessen Construction, St Charles, IL
PO #155076
$100,000
Northern Illinois Fence, Cortland, IL
PO #154984
$100,000
Northern Illinois Fence, Cortland, IL
PO #155073
$100,000
NIU Board of Trustees
60
September 17, 2015
7,937,000
Northern Contracting Inc., Sycamore, IL
PO #155072
$100,000
Northern Contracting Inc., Sycamore, IL
PO #154985
$100,000
Curran Contracting Co., DeKalb, IL
PO #155069
$100,000
Curran Contracting Co., DeKalb, IL
PO #154496
$249,000
Alliance Contractors Inc., Woodstock, IL
PO #155066
$100,000
Alliance Contractors, Inc., Woodstock, IL
PO #154511
$100,000
Associated Electrical Contractors, Inc., Woodstock, IL
PO #154537
$249,000
Associated Electrical Contractors, Inc., Woodstock, IL
PO #155064
$100,000
Scandroli Construction Co., Rockford, IL
PO #154529
$249,000
Sprinkmann Sons Corp., Rockford, IL
PO #154997
$249,000
Nelson Fire Protection, Rockford, IL
PO #154999
$150,000
DeKalb Mechanical Inc., DeKalb, IL
PO #154493
$249,000
Martin & Company Excavating, Oregon, IL
PO #154555
$249,000
First Security Systems, Inc., Naperville, IL
PO #154484
$249,000
Action Plumbing Co, Inc., West Chicago, IL
PO#154535
$200,000
Independent Mechanical Inc., Chicago, IL
PO #155077
$100,000
High Voltage Electrical Testing & Maintenance Inc., St Charles, IL
PO #154557
$249,000
Lake and Pond Solutions LLC, Greenville, WI
PO# 155034
$150,000
Simplex Grinnell, Madison, WI
PO #154528
$249,000
Meyer Paving Inc., Maple Park, IL
PO#154551
$150,000
Harry S Peterson, Co., Chicago, IL
PO #154538
$200,000
DeKalb Contract Glazing, DeKalb, IL
PO #154495
$200,000
Turner Construction Co., Chicago, IL
PO #154532
$249,000
Spray Insulations Inc., Morton Grove, IL
PO #154513
$100,000
Irving Construction Co Inc., DeKalb, IL
PO #154559
$249,000
NIU Board of Trustees
61
September 17, 2015
51. Research and Innovation Partnerships - Contract with Northern Illinois Research
Foundation (NIRF), established as a not-for-profit 501(c)(3) in Illinois for the principal
purpose of aiding and assisting Northern Illinois University in advancing its economic
development, public service, research and educational mission. This contract will be for
the period July 1, 2015 – June 30, 2016. This order is exempt from posting on the Illinois
Public Higher Education Procurement Bulletin.
FY16
(Northern Illinois Research
Foundation – DeKalb, IL)
249,000
52. Controller’s Office - Pay the University's portion of the federal share of the Single Audit of
NIU for the period ending June 30, 2014. This purchase is exempt from the bid process
as the engagement is with a state agency and is not subject to the rules of the
Procurement Code and applicable laws FY15 (State of Illinois – Office of the Auditor
General)
101,149
53. Student Affairs and Enrollment Management – Issue an order for desktop computers,
monitors, notebook computers and docking stations to replace existing systems that have
reached the end of their lifespan in eight different departments. This purchase is exempt
from the bid process due to utilization of the Midwest Higher Education Consortium
(MHEC) contract. FY15 (Hewlett Packard Corp., Omaha, NE)
200,000*
54. DoIT - Network & Communication Services - Issue an open order for telecommunications
consumable supplies and small tools on an as-needed basis during the period July 1, 2015
– June 30, 2016. This is the fourth year of seven renewal options based on a bid that
opened on June 22, 2011. The renewal award was advertised in the Illinois Public Higher
Education Procurement Bulletin. FY16 (Anixter, Inc., Mt. Prospect, IL)
249,000
55. Health Services - Issue an open order for outsourced laboratory services for the period
July 1, 2015 - June 30, 2016. The existing PPB sole source approval is valid through June
30, 2020. This open order is governed by an ongoing contract. FY16 (Quest Diagnostics,
Wood Dale, IL)
137,000
56. Environmental Health and Safety - Renewal of the open order required for the pick-up
and disposal of hazardous waste on an as-needed basis during the period July 1, 2015 –
June 30, 2016. This is the second year of five one-year renewal options based on a
Request for Proposal that was issued on May 1, 2013. The renewal award was advertised
in the Illinois Public Higher Education Procurement Bulletin and has been waived by the
PPB. FY16 (Tradebe Capital Corp., East Chicago, IL)
100,000*
57. NIU Hoffman Estates - Renewa of the open order for NIU Hoffman Estates janitorial
services on an as-needed basis for the period July 1, 2015 – June 30, 2016. This is the
first year of five one-year renewal options based on a Request for Proposal opened on
April 8, 2014. The renewal award was advertised in the Illinois Public Higher Education
Procurement Bulletin and has been waived by the PPB. FY16 (General Cleaning, Franklin
Park, IL)
100,000
NIU Board of Trustees
62
September 17, 2015
58. Department of Anthropology - To establish a subcontract with the Universite d’Etat
d’Haiti for services for a National Science Foundation grant project titled “CAREER:
Assessing Long-Term Sociocultural Impacts in Disaster Recovery Efforts”.
Nongovernmental organizations went to Haiti to assist following the 2010 earthquake and
are now beginning to leave. The grant project will provide essential comparative,
longitudinal data to assess the resilience of local socio-cultural institutions following the
end of international nongovernmental organization aid. The vendor will provide services
including researchers, learning resources, information and equipment management and
information technology support. Future funding is contingent on continued grant funding.
It will be received incrementally by NIU each year and will be issued incrementally to the
vendor. This order is exempt from the Illinois Procurement Code because the vendor is
named in the grant. FY15-20 (Universite d‘Etat d’Haiti, Port-au-Prince, Haiti)
NIU Board of Trustees
63
September 17, 2015
208,487
59-77. Physical Plant and Architectural & Engineering Services – Issue open orders for
miscellaneous project and maintenance work to be done as needed on campus during the
period July 1, 2015 – June 30, 2016. Services to be provided include, but are not limited
to, mechanical services, excavating, general contracting, painting, concrete work, roofing,
etc. The bid was opened on May 28, 2015. The intent to award these contracts will be
advertised in the Illinois Public Higher Education Procurement Bulletin. FY16
Mechanical Inc., Freeport, IL
PO #154547
$200,000
Mechanical Inc., Freeport, IL
PO #154996
$249,000
Kelso Burnett Co., Rockford, IL
PO #154561
$249,000
Schoening Painting and Decorating, Rockford, IL
PO #154530
$200,000
Schoening Painting and Decorating, Rockford, IL
PO #154990
$249,000
Virgil Cook & Son Inc., DeKalb, IL
PO #154533
$249,000
Elliott & Wood Inc., DeKalb, IL
PO #155815
$100,000
Elliott & Wood Inc., DeKalb, IL
PO #155433
$249,000
Elliott & Wood Inc., DeKalb, IL
PO #154483
$249,000
Schindler Elevator Corp., Madison, WI
PO #154498
$249,000
Mid Valley Concrete, Somonauk, IL
PO #155000
$200,000
Mid Valley Concrete, Somonauk, IL
PO #154552
$150,000
Ballard Companies, Rockford, IL
PO #155434
$249,000
Sterling Commercial Roofing, Sterling, IL
PO #154998
$249,000
Sterling Commercial Roofing, Sterling, IL
PO #154514
$100,000
Anderson Elevator Co., Broadview, IL
PO #154507
$249,000
Swedberg Electric, Sycamore, IL
PO #154995
$249,000
Ringland Johnson Inc., Cherry Valley, IL
PO #154531
$249,000
Weaver Construction, Sycamore, IL
PO #155070
$200,000
4,138,000
78. Division of Information Technology - Network and Communication Services - Issue a
purchase order for maintenance and support of NIU's Nortel CS2100-SL100 Hybrid
telephone switch for the period July 1, 2015 – June 30, 2016. This is the first year of five
renewal options based on a bid opened March 25, 2014. The renewal award will be
advertised in the Illinois Public Higher Education Procurement Bulletin. FY16 (Arrow
Systems Integration, Inc., Irving TX fka Shared Solutions)
200,000
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79. Division of Information Technology - Division of Information Technology Software
Licensing requests permission to renew the Microsoft Campus Agreement for Microsoft
software for the period July 1, 2015 – June 30, 2016. This is the second year of nine
renewals based on a proposal that was opened on April 25, 2013. The renewal award will
be advertised in the Illinois Public Higher Education Procurement Bulletin. FY16
(Scholarbuys, Carpentersville, IL)
235,000
80. Document Services - Issue an open order for support, maintenance and software
upgrades as needed for the digital press provided as a result of the opening of RFP
#TEM82301. This digital press is used for the production of university mainframe output,
including payroll, year-end tax documents and student tuition billing. The intent to award
this contract as a sole source was advertised in the Illinois Public Higher Education
Procurement Bulletin. FY16 (Xerox Corporation, Schaumburg, IL)
175,000
81. Office of General Counsel - Establish open order for FY 16 to for outside general legal
services including police discharge services and legal representation of senior staff.
These orders are exempt from advertising on the Illinois Public Higher Education
Procurement Bulletin in accordance with Section 4.10(d)(7) of the Procurement Code.
FY16 (Pugh, Jones & Johnson, PC, Chicago, IL)
200,000
82. Office of General Counsel - Establish open order for FY 16 to for outside general legal
services including police discharge services and legal representation of senior staff.
These orders are exempt from advertising on the Illinois Public Higher Education
Procurement Bulletin in accordance with Section 4.10(d)(7) of the Procurement Code.
FY16 (Laner Muchin, Chicago, IL)
125,000
83. Office of General Counsel - Establish open order for FY 16 to for outside general legal
services including police discharge services and legal representation of senior staff.
These orders are exempt from advertising on the Illinois Public Higher Education
Procurement Bulletin in accordance with Section 4.10(d)(7) of the Procurement Code.
FY16 (Hinshaw & Culbertson, LLP, Chicago, IL)
100,000
84. CEET – Engineering Outreach - An amendment is required to cover additional OHSA
courses planned and presented by MSC during Fiscal Year 2015. This order is exempt
from the Illinois Procurement Code according to Section 30 ILCS 500/1-10(b)(8) [nocredit educational service]. Original Approval $160,000, Amendment $50,000, new order
total $210,000. FY15 (Minnesota Safety Council, St. Paul, MN)
50,000
85. Research and Innovation Partnerships - To renew their contract with this vendor for
outside legal services for ongoing representation for matters involving intellectual
property protection for Fiscal Year 2016. This renewal is based on a sealed proposal
opened on April 24, 2013. The award was advertised in the Illinois Public Higher
Education Procurement Bulletin and waived by the PPB. FY16 (Barnes & Thornburg LLP)
150,000
86. College of Engineering and Engineering Technology - To issue orders for the planning and
presentation of OSHA courses to be taught during the period October 1, 2015 September 30, 2016. These orders are exempt from the Illinois Procurement Code
according to Section 30 ILCS 500/1-10(b)(8) [no-credit educational service]. FY16-17
(Minnesota Safety Council, St. Paul, MN)
210,000
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87. Health Services - To issue an open order for the period July 1, 2015 – June 30, 2018 for
reagent testing supplies for the diagnosis of sexually transmitted diseases. There is no
other technology available to satisfy the need of diagnosis and treatment. The intent to
award this contract as a sole source will be advertised in the Illinois Public Higher
Education Procurement Bulletin. FY16-18 (Becton Dickinson Diagnostics Systems, Sparks,
MD)
210,000
88. Materials Distribution Center - Renewal of open orders with the suppliers listed to provide
commodities and repair parts needed for various maintenance and operational units of
the University during the period July 1, 2015 – June 30, 2016. This is the second of four
one-year renewal options allowed for in a RFP opened on May 29, 2013. The renewal
was advertised in the Illinois Public Higher Education Procurement Bulletin and has been
waived by the PPB. FY16 (Graybar Electric, Glendale Heights, IL)
230,000
89. Materials Distribution Center - Renewal of open orders with the suppliers listed to provide
commodities and repair parts needed for various maintenance and operational units of
the University during the period July 1, 2015 – June 30, 2016. This is the second of four
one-year renewal options allowed for in a RFP opened on May 29, 2013. The renewal
was advertised in the Illinois Public Higher Education Procurement Bulletin and has been
waived by the PPB. FY16 (Splash of Color, Inc., Sycamore, IL)
109,000
90. Materials Management - Renewal of the open order used to purchase stock dishwashing
products for university food service units for the period July 1, 2015 - June 30, 2016.
This vendor also supplies and maintains, at no charge, necessary dispensing equipment
for these products at each food service location. This is the fourth of nine one-year
renewal options allowed for in a bid opened on April 26, 2011. The renewal was
advertised in the Illinois Public Higher Education Procurement Bulletin and has been
waived by the PPB. FY16 (Ecolab Inc., St. Paul, MN)
160,000
91. NIU Naperville - Renewal of an open order for miscellaneous non-food, food servicerelated commodities for the period July 1, 2015 - June 30, 2016. This is the last year of
five one-year renewal options allowed for in a bid opened on May 25, 2010. The renewal
was advertised in the Illinois Public Higher Education Procurement Bulletin and has been
waived by the PPB. FY16 (Gordon Food Service, Grand Rapids, MI)
107,000
92. Northern Star - Renewal of an open order for printing of the Northern Star for the period
of July 1, 2015 - June 30, 2016. This is the third of four one-year renewal options
allowed for in a bid opened on February 28, 2012. The renewal was advertised in the
Illinois Public Higher Education Procurement Bulletin and has been waived by the PPB.
FY16 (Castle Printech, DeKalb, IL)
132,000
93. Outreach Services - Renewal of an open order for educational material and data used for
non-credit courses offered for preparation for Human Resource certifications for the
period of July 1, 2015 - June 30, 2016. This is the third of nine one-year renewal options.
The sole source renewal was advertised in the Illinois Public Higher Education
Procurement Bulletin and has been waived by the PPB. FY16 (Society for Human
Resource Management, Eagan, MN)
150,000
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94. Division of Information Technology - Order for software maintenance and service for the
OneCard Program for the period July 1, 2015 – June 30, 2016. OneCard is used for
identification cards for faculty, staff and students at NIU. The intent to award this
contract as a sole source was advertised in the Illinois Public Higher Education
Procurement Bulletin. FY16 (Blackboard, Inc., Phoenix, AZ)
230,000
95. Material Distribution Center - Establish an open order for miscellaneous commodities and
repair parts required by the Material Distribution Center for the period July 1, 2015 – June
30, 2016. The University of Illinois, in cooperation with Illinois Public Higher Education
Institutions, collaborated with the Educational & Institutional Cooperative Service, Inc. (E
& I) on a request for proposals for MRO Equipment, Supplies and Services. This RFP was
advertised on the Illinois Procurement Bulletin and was awarded to W.W. Grainger, Inc.
The offer is available to Illinois Public Higher Education Institutions, including NIU. FY16
(W.W. Grainger, Lake Forest, IL)
220,000
96. Transportation Services - Issue open orders for charter bus services for the period July 1,
2015 – June 30, 2016. This is the fourth of five one-year renewals based on bid
#WLC121167 opened April 13, 2011. The renewal award was advertised in the Illinois
Procurement Bulletin and has been waived by the PPB. FY16 (VanGalder Bus Co.,
Janesville, WI)
120,000
97. Office of General Counsel - To increase an open order for outside legal services regarding
the NAN KAI Project. Original President’s approval was received on January 9, 2015.
Pricing is the result of RFP #BJM041013 that opened April 24, 2013. The award for the
period 1/1/14 - 6/30/18 has been advertised on the Illinois Procurement Bulletin and has
been waived by the PPB. Original Approval 75,000, Amendment 120,000. FY15 (Mayer
Brown, Chicago, IL)
195,000
Capital Improvement Projects:
1. Central Core Redevelopment Framework - The February 2014 document “A Campus
RE:Envisioned” set “Ten Goals for Five Years” with Holmes Student Center identified as
the number one goal and the Spine as the second; both items are critical to the
redevelopment of the central core of the NIU campus. This project provides an urban
design framework plan that will guide and inform the architectural and space planning
studies within the central core of campus. The Spine, envisioned as a
pedestrian/bicycle/light vehicle pathway through central campus, will be an integral
component in creating a campus central core that is vibrant, human scaled, and the
center of activity. The University envisions a next generation NIU community experience
with a fully integrated campus central core to better serve student needs and support
student career success.
Work will be completed by consulting urban planners under the supervision of an NIU
project manager.
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129,350
2. Cole Hall Anthropology Museum - NIU Anthropology Museum was relocated from the
Stevens Building into a newly renovated, state of the art, exhibition space located on the
first floor of Cole Hall in 2010-2011. At the same time the artifact collection storage
facility located on the lower level of Cole Hall was also renovated. Significant but
unplanned growth in the Anthropology Museum collections over the past two decades has
resulted in overcrowded and poorly allocated storage conditions. A 2009 Conservation
Assessment Program (CAP) assessment recommended new compact storage shelving be
used to maximize the storage within the limited floor space of the collection storage area.
The renovation project provided approximately half of the compact shelving needed and
prepared the concrete floor with the reinforcing steel rails and plywood flooring for
additional future compact storage when funding was available. The Provost and the
College of Liberal Arts and Sciences are now requesting the additional high density
compact storage shelving units be installed in the Anthropology collection storage room
B011. Anthropology has received a Federal Grant through the Institute of Museum &
Library Services to cover the cost of the new storage shelving.
117,250
Work will be completed by a combination of outside contractors and NIU Craft under the
supervision of an NIU project manager. The work will include minor floor preparation and
installation of new compact shelving units.
3. Convocation Center - Convocation Center / Intercollegiate Athletics has requested that
the existing audio system in the Convocation Center Arena be renovated and updated to
current technology. The sound system is original to the building when it was constructed
in 2002 and consists of a centralized loud speaker system in the center of the arena
around the scoreboard. Technology for audio systems has advanced significantly to the
point that maintaining and repairing the existing system is increasingly difficult, including
locating replacement parts for the system. The new audio system will utilize a distributed
speaker layout around the arena to provide improved audio coverage for the arena. In
addition, the system will include all required components for the stage. The new system
will be integrated into the existing scoreboard and will also be fully compatible with the
planned future scoreboard.
Work will be completed by a combination of outside contractors and NIU Craft under the
supervision of an NIU project manager. The work will include removal of existing sound
system and the installation of a new sound system and supporting electrical receptacles.
*Appropriated Funds
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229,500
Information
Agenda Item 9.b.(8)
September 17, 2015
ANNUAL SUMMARY REPORT
OBLIGATION OF FINANCIAL RESOURCES
Year Ended June 30, 2015
__________________________________________________________________
Number of
Category
Purchase Orders
$0 to $25,0001
Percentage
Dollar Volume
Percentage_
6,750
88.0
$ 29,317,717
11.6
$25,001 to $100,0001
648
8.4
33,592,508
13.2
$100,001 to $250,0002
181
2.4
30,918,193
12.2
$250,001 to $500,0003
47
.6
16,599,829
6.5
Over $500,0003
48
.6
143,398,308
56.5
7,674
100.0
$253,826,555
100.0
TOTAL
The Annual Summary Report on the Obligation of Financial Resources is required by the Board of
Trustees Regulations and supplements the “Periodic Summary Report of Transactions” which is presented
on a quarterly basis.
Transactions reported to and/or approved by the Board of Trustees throughout the fiscal year and those
included in the Quarterly Summary Report of Transactions reflect the maximum approved amount that
orders may not exceed. Pursuant to this authority, the Annual Summary Report outlined above reflects
orders actually placed, including purchases, professional services and capital projects.
Authorizations for transactions less than $100,000 are approved at the university level (above $25,000
by the President).
2
Authorizations for purchases and capital projects between $100,000 and $250,000 are approved by the
President and periodically reported to the Board of Trustees.
3
Authorizations for purchases and capital projects exceeding $250,000 are presented for approval by the
Board of Trustees.
1
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Information
Agenda Item 9.b.(9)
September 17, 2015
STATE LEGISLATIVE UPDATE
The 2015-16 academic year is officially underway; however, the 99th General Assembly and Governor
have not yet finalized a comprehensive state budget for FY 2016. It should be noted, however, that an
estimated 90 percent of state spending is already underway when various budget approvals, court orders
and statutory mandates are considered. Specifically, this includes the K-12 education budget, which has
been approved for FY 2016, spending on several other key items such as - Medicaid, various human
services programs, pensions, debt service, and payroll (and benefits) for nearly 60,000 state employees.
Higher education, however, is one of the few remaining areas to operate without an FY 2016 spending
plan. Earlier this week Comptroller Munger announced that insufficient cash flow was making it difficult
for her to comply with various court-ordered payments and that Illinois is on a current spending
trajectory that will leave the state with a $5 billion budget deficit this year.
Later this morning you will hear more about the FY 2016 university budget and the FY 2017 budget
development process. This item provides an overview of the FY 2016 state budget process to-date, the
status of the FY 2016 budget and selected legislative issues that remain unresolved.
FY 2016 Budget Notes:

February 3, 2015: The Illinois Board of Higher Budget approved its FY 2016 budget
recommendations for higher education operations, grants, and capital funding. The IBHE
recommendation supported a “flat” budget for public universities and a $50 million increase for
the Monetary Award Program (MAP).

February 18, 2015: Governor Rauner proposed a 31.5 percent cut for public universities in FY
2016; and he proposed flat funding for community colleges and the Monetary Award Program
(MAP).

March 19, 2015: President Baker and a contingent of staff and students traveled to Springfield to
appear before the Senate Appropriation II Committee. On March 26th, President Baker testified
at the House Higher Appropriations Committee. Three NIU students also joined the President in
his appearance before the Committee.

March 26, 2015: Governor Bruce Rauner signed HB 317 into law. Public Act 99-0001 reduced
public universities’ FY 2015 - current year – appropriations by 2.25%. This reduced NIU’s FY
2015 appropriation $2.1 million from $93.2 million to $91.1million.

April 16, 2015: President Baker, Mike Mann and 3 NIU students attended a closed door session
of the House Higher Education budget working group.

May 26, 2015: The Illinois House approved a series of higher education budget bills; House Bill
4148 would provide NIU with an FY 2016 appropriation totaling $85.2 million.
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
June 24, 2015: House Bill 4148 was approved by the Senate. Having passed both Houses, the
bill was sent to the Governor.

June 25, 2015: HB 4148 was vetoed by the Governor. The bill was placed on the calendar on
June 30th, and then, since the legislature took no positive action within the required 15 days, the
total veto stands effective July 16, 2015.
Recent Legislative Action:

Senate Bill 1229: On August 19, 2015, the Senate voted to override the Governor’s veto of SB
1229. The legislation prevents the Governor from locking out state workers during contract
negotiations and also prevents workers from going on strike. In addition, if either the state or
union declares an impasse in labor negotiations, the issue will be decided by binding arbitration.
This bill was placed on the House calendar using the effective date of August 25th; the
House has 15 days from this date to follow the Senate’s lead to override the
legislation. If they fail to do so, the veto stands.

SB 1455 – College Readiness/Student Assessment: This legislation was signed into law on
July 29, 2015 and becomes effective on January 1, 2016. Public Act 99-0185 requires that of the
3 assessments conducted by the State Board for students in a secondary education program, one
of the assessments “shall include a college and career ready determination that shall be accepted
by this State’s public institutions of higher education, as defined in the Board of Higher Education
Act, for the purpose of student application or admissions consideration.”

Senate Bill 2042: The General Assembly has approved SB 2042 which allows the state to
spend federal funds to support a variety of activities to support child care, human service
programs, job training programs, disaster relief and assistance for domestic violence victims.
Legislative attempts to add state funding to this bill were not successful; those funds included
monies needed to match or capture additional federal funds. Governor Rauner signed SB 2042
into law on August 20, 2015; it is Public Act 99-0409.

Senate Bill 2043: On August 19, 2015, the Illinois Senate approved SB 2043, which provides
$373.3 million to the Monetary Award Program (MAP). At NIU, nearly 6,000 students receive
more than $20 million annually in MAP funds. The University, along with all public universities, is
crediting student accounts at the MAP announced award level for needy students until the state
payments from ISAC (Illinois Student Assistance Commission) are received. The payments may
be delayed, or even reduced depending on the final MAP budget, but at this time NIU does not
want the budget impasse to affect its most vulnerable student population. The bill was placed
on first reading when the House met earlier this week on Tuesday August 25th.

Senate Bill 2157: This legislation was introduced in July and it requires elected community
college board of trustee members who have been elected after the effective date of this
amendatory Act to complete a minimum of 4 hours of professional development leadership
training. The community college district shall maintain on its Internet website, the names of all
elected voting trustees of the community college district's board who successfully complete the
training. The training may be provided by an association established for the purpose of training
community college district board trustees or by other qualified providers approved by the Illinois
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September 17, 2015
Community College Board. This bill is on first reading in the Senate and has an effective date of
January 1, 2017.

Senate Bill 2170: On August 19, 2015, Senator Tom Cullerton introduced SB 2170. The
legislation is titled the Public University Administrative Cost Decrease Act and it provides that all
public universities shall annually submit a cost certification that certifies the level of spending
dedicated to administrative costs for the current academic year. Then, beginning with the 20172018 school year, a Board of Trustees of a public university may not enact a budget that contains
tuition or fee increases above that of the tuition and fees set in the 2015-2016 academic year
until the Auditor General has verified that the cost certification submitted by the public university
and due in the same calendar year of the proposed tuition or fees increase has shown a decrease
of administrative costs by 25%. This legislation also amends the Illinois State Auditing Act. It is
on first reading in the Senate.

House Bill 821: On August 21, 2015, the Governor signed HB 821 into law. Public Act 99-0426
creates the Preventing Sexual Violence in Higher Education Act and amends the Campus Security
Enhancement Act of 2008. Earlier this spring the House and the Senate unanimously approved
this legislation. The new law requires schools to develop a task force or join a regional task
force, provide confidential advisors to assist sexual assault victims/survivors, annual reporting to
the Department of Human Rights and the Office of the Attorney General, and the implementation
of other processes and notifications.

House Bill 1336: On August 21, 2015, the Governor signed HB 1336 into law. Public Act 990447 amends the Liquor Control Act of 1934. The law takes effect on January 1, 2016, and it
provides minors who have been drinking alcohol with immunity from prosecution who call
authorities/911 to get help. Specifically, it provides legal protection for a person needing medical
help and the person who called for him or her; the Act details the conduct required, and the
provisions and conditions of the immunity.

HB 3428 – Advanced Placement Test: On August 14, 2015 the Governor signed this
legislation into law. Public Act 99-0358 amends the College and Career Success for All Students
Act. Provides that beginning with the 2016-2017 academic year, scores of 3, 4, and 5 on the
College Board Advanced Placement examinations shall be accepted for credit to satisfy degree
requirements by all public institutions of higher education. Provides that each institution of higher
education shall determine for each test whether credit will be granted for electives, general
education requirements, or major requirements and the Advanced Placement scores required to
grant credit for those purposes. Provides that by the conclusion of the 2019-2020 academic year,
the Board of Higher Education shall analyze the Advanced Placement examination score course
granting policy of each institution of higher education and the research used by each institution
in determining the level of credit and the number of credits provided for the Advanced Placement
scores and file a report that includes findings and recommendations to the General Assembly and
the Governor. Provides that each institution of higher education shall publish its updated
Advanced Placement examination score course granting policy on its Internet website before the
beginning of the 2016-2017 academic year.
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
House Bill 4272 – K-12 Pension Cost Shift: This bill was filed on August 12th and deserves
careful monitoring. This legislation creates the Fund Education First Act and provides funding
stability for K-12 education by requiring the General Assembly to appropriate funding for the
General State Aid formula equal to or in excess of the previous fiscal year and dedicate 55% of
total new general funds available for spending from estimated growth revenues, and a continuing
appropriation if the general assembly fails to make sufficient appropriations to the general State
aid formula. This legislation also amends the Illinois Pension Code; in the Downstate Teacher
Article it changes the funding goal from 90% to 100% and shifts certain costs accruing after July
1, 2016 to employers. The bill is on first reading in the House.
Other Items of Interest

House Bill 403 - 50% waiver for Children of Employees.
This bill proposed the
elimination of the 50% waiver that public university employees receive for dependent tuition
after 7 years of service. The legislation would eliminate the benefit for students not already in
the program as of Fall 2016. This bill passed out of committee but was returned to the House
Rules Committee in April and no further movement has occurred.

House Bill 170 – Procurement. This bill reinstates University exemption from the bid
thresholds of the Procurement Code for entertainment, international programs, textbooks and
library materials and some professional services. The bill has passed the House and is currently
in Senate Assignments.
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Information
Agenda Item 9.b.(10)
September 17, 2015
FEDERAL RELATIONS UPDATE
Congress
The Fiscal Year 2016 Appropriations Update
Unfortunately, Fiscal Year (FY) 2016 is expected to arrive on October 1, 2015 with a continuing resolution
that extends FY2015 funding levels and priorities into the first quarter of FY2016. That said, Sen. Ted
Cruz (R-TX) suggested supporting a federal government shutdown to block funding for Planned
Parenthood, the women’s healthcare organization.
It is difficult to predict what a comprehensive FY2016 appropriations package will look like. The twelve
required appropriations bills have reached varying stages of completion in both the House and Senate
and veto threats abound. The outcome of a disagreement amongst congressional leaders and the
Administration regarding the top-line budget spending levels for FY2016 could substantially alter the
contours of the eventual FY2016 appropriations package.
2016 Presidential Race
Five sitting U.S. Senators are running for a 2016 presidential nomination, complicating the beleaguered
legislative process and raising tensions within Congress. Former Senator and current presidential
candidate Hillary Clinton recently announced a sweeping $350 billion over ten years higher education
plan, practically ensuring that higher education will become a topic of discussion on the campaign trail
and during primary debates in the coming months.
Key Legislation
21st Century Cures Act (H.R. 6)
This bill passed the House with strong bipartisan support. It aims to spur innovation and streamline
processes at the National Institutes of Health (NIH) and the Food and Drug Administration (FDA). If
enacted, NIU could potentially benefit from the "NIH Innovation Fund," a mandatory funding stream of
$8.75 billion over five years as well as provisions to prioritize early-career researchers. The Illinois
delegation supported the bill.
The PATENT Act (S. 1137) and The Innovation Act (H.R. 9)
Both chambers are considering legislative approaches to addressing abusive patent practices. Higher
education seeks special dispensation in both bills given the uniqueness of our intellectual property
portfolios. Both bills are currently on hiatus but may come up again in fall 2015.
Higher Education Act Reauthorization
The Senate is leading on the reauthorization of the Higher Education Act (HEA) and draft bill text may be
available by the end of 2015. It is unclear how campus safety will be addressed. Chairman Alexander’s
priorities for reauthorization are (1) ending overregulation of higher education institutions; (2) ending
federal collection and dissemination of ‘useless’ data; (3) improving the accreditation system; and (4)
ensuring institutions begin sharing in the risk of lending to students.
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The Obama Administration
The Administration released their FY2017 science and technology priorities memo. Topics of particular
interest to NIU’s portfolio include high performance computing, advanced manufacturing, arctic science,
and STEM education.
The Department of Education (ED) is walking back from a structured ranking system for higher education
institutions. Instead, they are developing a new data-driven “tool” for consumers but few details are
available. Also this quarter, ED enacted a “gainful employment” rule requiring career college programs to
track the workplace performance of graduates and it ties federal funding to student career success. The
rule is estimated to cause the closure of 1,400 programs across the country, affecting 840,000 students,
99% of whom are at for-profit institutions.
The Supreme Court
The Supreme Court agreed to hear, for a second time, Fisher vs. University of Texas at Austin, a case
about using affirmative action in admissions decisions.
Federal Engagement with NIU
NIU Shares Priorities with Federal Officials in Washington, D.C. and DeKalb, IL
NIU faculty and students regularly engage with Members of Congress and their staff as well as federal
agency officials on issues of importance to NIU, including:




On June 23rd-24th, Prof. Federico Sciammarella visited Washington, D.C. and participated in two
congressional briefings on his advanced manufacturing research as well as productive
meetings with Rep. Adam Kinzinger and officials from the National Institute of Standards
and Technology, the Office of Naval Research, and the Air Force Office of Scientific
Research.
On July 2nd, J.T. Mackey, Rep. Kinzinger’s policy advisor for higher education and
science/research, visited NIU for the first time to tour lab spaces and meet with faculty
researchers from across campus to discuss their federal priorities.
On July 15th, Prof. Federico Sciammarella attended the Office of Naval Research Quality
Metal Additive Manufacturing (Quality Made) Future Naval Capability Industry Day in
Washington, D.C. to assist with shaping the Navy’s FY2017 funding solicitations in his field of
additive manufacturing.
On August 6th, Rep. Adam Kinzinger visited NIU to present the Supermileage Team of
engineering students with a congratulatory statement from the Congressional Record and to
discuss the importance of federal research investments in the discovery, innovation, and
education mission of NIU with faculty from four colleges.
Facilitating National Scholarship Opportunities for Students
The Office of Federal Relations is working with the NIU University Honors Program to build NIU’s capacity
for supporting NIU students in national scholarship competitions. This quarter, Jason Goode, University
Honors Program scholarship director, attended meetings and a workshop at the British Consulate in
Chicago regarding the prestigious United Kingdom-sponsored Marshall Scholarship. Dr. Anna Quider
participated in the Marshall Scholarship Outreach and Diversity Committee at the British Embassy in
Washington, D.C. and is assisting a student with a Fulbright Scholarship application.
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Information
Agenda Item 9.b.(11)
September 17, 2015
BROADBAND AND HEALTHCARE INITIATIVES
Broadband Initiatives - The Division of Information Technology and Division of Outreach, Engagement
and Regional Development has been involved in numerous broadband technology initiatives in recent years
adding thousands of miles of fiber and broadband access to Illinois communities, counties, and regions.
These initiatives include:
 Universal Service Administrative Company provided $21M funding for the Illinois Rural HealthNet, a
3000+ mile statewide broadband network to serve hospitals and healthcare facilities in rural Illinois.
 National Telecommunications and Information Administration provided over $90M funding of which
Northern Illinois University received $68M for iFiber a 950 mile network installed throughout
Northwestern Illinois. DeKalb County Government in partner with NIU received $12M funding for a 130
mile network throughout the County.
 All initiatives combined include nine networks and over 4000 miles, connecting 700+ organizations.
Healthcare Initiatives - The Division of Outreach, Engagement and Regional Development has been
involved in numerous health care and health technology initiatives focused on implementation of health
technology, research on improving quality health outcomes, and establishment of physician best practices
for chronic diseases. These include:
 The Office of National Coordinator (ONC) U.S. Department of Health and Human Services provided $10M
to support hospitals, practices, and physicians in the adoption and implementation of electronic health
record systems and achievement of meaningful use.
 The Illinois Department of Health and Family Services provided $4M to support eligible professionals and
hospitals as they adopt, implement, upgrade or demonstrate meaningful use of certified EHR technology
and earn incentive payments.
 The Agency for Health Research and Quality provided $0.9M NIU to evaluate how effectively small
practice physicians are managing cardiovascular disease. The projects is a partnership with Northwestern
University, Purdue University and others.
 The Transforming Clinical Practices Initiative may provide $1.0M to establish a physician network that will
train and deploy Quality Improvement Advisors to coach 11,000 physicians through patient-centric
practice transformation in partner with Purdue University, Northwestern University and many others.
Our Future Vision for Broadband and Healthcare
Broadband –leverage NIU’s reputation as a leader in broadband for cutting edge technology, innovative
cost-sharing arrangements, and the ability and capacity to deploy small to large broadband projects to
expand economic opportunity throughout the State.
Healthcare – leverage NIU’s national designation as a statewide, health information technology regional
extension center to improve healthcare and expand collaborations with other state and regional higher
education and health care institutions to conduct research on quality improvement and health outcomes
and reduction in healthcare costs.
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Status of NIU Broadband Initiatives within the Division of Information Technology and
Division of Outreach, Engagement, and Regional Development
The Division of Information Technology and Division of Outreach, Engagement and Regional
Development have been involved in numerous broadband technology initiatives in recent years adding
thousands of miles of fiber and broadband access to Illinois communities, counties, and regions. As the
partnerships and collaborations have grown in number, NIU has acquired a reputation in the broadband
arena for cutting edge technology, innovative cost-sharing arrangements, and the ability and capacity to
deploy small to large broadband projects.
Northern Illinois University’s NIUNet (self-funded) In 2004, NIU’s Information Technology
Department took an entrepreneurial leap when it evaluated and determined the establishment of its own
fiber optic network required a very short Return on Investment given existing rates for high speed
broadband connectivity to its regional campuses in Naperville, Hoffman Estates, and Rockford. This action
launched a successful network not only allowing connectivity to regional campuses but also bringing
together significant partnerships with municipal and regional organizations, setting the stage for NIU’s
reputation in the broadband arena. NIUNet, a high-speed fiber-optic network built by Northern Illinois
University, connects the region to the world while enhancing academic research and bolstering economic
development. NIUNet is a roughly 175-mile fiber optic loop throughout the western Chicago suburbs and
greater northern Illinois region, consisting of both newly constructed segments and previously unused
leased underground fiber.
Universal Service Administrative Company ($21 million funded).
In 2008, NIU
developed the concept and proposal to build a 3000+ mile statewide broadband network to serve
hospitals and healthcare facilities in rural Illinois. NIU established an independent not-for-profit
organization, Illinois Rural HealthNet (IRHN) with board representation from the original founding
organizations including NIU, to receive these funds and own and operate the network. At present,
the IRHN network is completed and operational, serving over 50 hospitals and healthcare clinics
across the state’s rural footprint. NIU has been providing network design, development, and
management since inception, but will be stepping aside from these services as IRHN matures as
an independent network. No ongoing requirement for founding organizational participation was
included as part of IRHN bylaws and as such, NIU will have no organizational involvement going
forward but continues to support the network as whole and as one of the networks NIU was
instrumental in founding.
National Telecommunications and Information Administration (over $90 million total,
funded) As a result of the American Recovery and Reinvestment Act of 2009 (ARRA), the federal
government released funding opportunities for the establishment of broadband networks.
Representatives from both NIU’s Division of Information Technology and Division of Outreach,
Engagement, and Regional Development were approached by 7 municipalities, economic
development organizations, and regions to assist in developing their proposals, including design
and engineering of the network, financial proformas, and organizational development. Of the
original 7 proposals NIU was involved with creating, 5 were funded.
Northern Illinois University ($68 million funded). During the NTIA proposal process, 3 of
the applications/regions were required to consolidate into a single larger project. As a result, NIU
consolidated 3 of the projects it assisted, into a single proposal. The regions included La Salle
County, Winnebago and Boone Counties, and the six north western Illinois counties included in the
Blackhawk Hills Regional Economic Development footprint. NIU brought together these three
projects, redesigned and reengineered the projects into a larger network including 9 counties. In
September 2010, NIU received its largest award in history from NTIA for $68 million to build a 950
mile network throughout Northwestern Illinois.
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NTIA required the formation of a not-for-profit-profit (NFP) organization to be established for the
newly formed group for the sole purpose of constructing the network and overseeing the 48 public
strands of fiber planned. iFiber - Illinois Fiber Resources Group was established in January 2011
and includes representation includes 2 representatives from each of the 3 founding municipal and
economic development organizations in addition to 2 representatives from NIU.
NIU was instrumental in the establishment of iFiber and completion of the network providing
project management, network design, construction management and business services to the
start-up organization. The 950 mile network was completed in December 2013. In addition to
representatives on the iFiber Board, NIU provides network monitoring services and business
management for the organization.
DeKalb Advancement of Technology Authority (DATA). DeKalb County received an award for $12
million to build a 130 mile network throughout DeKalb County. The DATA project, a partnership between
the DeKalb County Government, Northern Illinois University, and DeKalb Fiber Optic, deployed a 130-mile
fiber-optic network across DeKalb County and northern LaSalle County. The project targeted areas with a
demonstrated need for high-speed, low-cost broadband access. The network provides high-speed
Internet connections between 10 Mbps to 10 Gbps to XX anchor institutions: schools, hospitals, libraries,
public safety entities, and numerous government agencies. The network was designed to meet the needs
communities in general, education and libraries, healthcare, the farming community, government and
emergency services, and business and economic development.
Additional NIU Led Network Initiatives
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IMBCA – Illinois Municipal Broadband Communications Association for Economic Development.
CSFN – An Illinois capital funded project with Cook County and the South Suburban Mayors and
Managers Association led by Northern Illinois University.
NITT – Northern Illinois Technology Triangle for Economic Development
TriLightNet – A medical network for HIE development and healthcare.
NMBA – Northwest Municipal Broadband Authority – A municipal and education network.
Status of NIU Health Care Initiatives within the Division of Outreach, Engagement,
and Regional Development
The Division of Outreach, Engagement and Regional Development has been involved in numerous health
care and health technology initiatives in recent years thru its national designation as the Illinois Health
Information Technology Regional Extension Center (ILHITREC). Regional Extension Centers were
established as part of the American Recovery and Reinvestment Act of 2009, which authorized the
Centers for Medicare & Medicaid Services (CMS) to provide incentive payments to eligible professionals
and eligible hospitals, including critical access hospitals, participating in Medicare and Medicaid programs
that are meaningful users of certified Electronic Health Record (EHR) technology. IL-HITREC provides
unbiased help to qualified providers in reaching meaningful use of their certified EHR, which then enables
them to collect CMS EHR incentive payments.
Northwestern University (NU) also received designation as a Regional Extension Center serving the City of
Chicago. As the two nationally designate REC’s covering the state of Illinois, both NIU and NU have work
closely on numerous funded initiatives and proposals focused on implementation of health technology,
research on improving quality health outcomes, and establishment of physician best practices for chronic
diseases.
Office of National Coordinator (ONC) U.S. Department of Health and Human Services
($10 million) In 2009, NIU/ILHITREC received funding to establish the Illinois Health
Information Technology Regional Extension Center (ILHITREC) and provide support to hospitals,
practices, and physicians in the adoption and implementation of electronic health record systems
and achievement of meaningful use. The overall goal is to improve the quality of care and
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decrease healthcare costs through the use of electronic record systems, exchanges, and best
practices. NU received similar funding from ONC and our staffs have been working in
collaboration on these initiatives.
Illinois Department of Health and Family Services ($4 million) In 2013, NIU/ILHITREC
received funding from the Illinois Department of Health and Family Services (HFS) to support
eligible professionals, hospitals and critical access hospitals (CAHs) as they adopt, implement,
upgrade or demonstrate meaningful use of certified EHR technology. As part of this process ILHITREC assist providers in navigating the state incentive program where they can then earn
incentive payments for Adoption, Implementation and Use (AIU), then again when achieving the
various stages of meaningful use. NU received similar funding from HFS and our staffs have been
working in collaboration on these initiatives.
An important role of the RECs is to assist providers in leveraging the data now captured electronically to
meet reporting requirements and to use in quality improvement efforts. With the infusion of electronic
health record systems in hospitals, practices and physician offices, the stage has been set to leverage the
data collected toward evaluating health outcomes, identifying best practices for improving health, and
conducting research focusing on components of health delivery that are superior in achieving
improvement in health outcomes and reductions in healthcare costs.
AHRQ R18 ($900,000) In May 2015, NIU as sub recipient to NU, received funding to evaluate
how effectively small practice physicians are managing cardiovascular disease. This research
endeavor includes faculty and students from CHHS as well as the IL-HITREC team. The $15 million
project is one of seven awarded nationwide from the Agency for Healthcare Research and Quality
(AHRQ) to evaluate efforts to help primary care practices use the latest evidence to improve the
heart health of millions of Americans. This initiative supports the broad U.S. Department of Health
and Human Services (HHS) effort for better care, smarter spending, and healthier people, and is
aligned with the department’s Million Hearts® national initiative to prevent heart attacks and
strokes. Other grant sub recipients include Purdue University, UIC, Metastar (WI REC), Telligen (IL
QIO), American Medical Association, Illinois Department of Public Health.
Transforming Clinical Practices Initiative ($1.0 million) In February 2015. NIU as sub
recipient to NU and Purdue University submitted a three state $45 million proposal to establish a
physician network that will train and deploy Quality Improvement Advisors to coach 11,000
physicians through the CMMI’s five phases of patient-centric practice transformation. The network
will utilize a “Change Toolkit” that integrates three practice transformation approaches: 1)
implementation science; 2) lean/six sigma; and 3) population health management. Furthermore,
the project will provide direct technical assistance in meaningful use, physician quality reporting
system, data-informed decision-making processes, local quality improvement efforts and help
prepare physicians to participate in value-based payment systems. This initiative will include
faculty and students from CHHS as well as the ILHITREC team. The three-state consortium
includes 32 healthcare partners including four Regional Extension Centers (RECs), three State
Departments of Health, five regional Health Information Exchanges (HIEs), and eight universities.
Rosalind Franklin University
The Division is participating in a RF lead consortium, Health
Professionals Education Consortium focused on expanding the pipeline of health professionals thru K-12
initiatives. Beyond, this, research and funding opportunities like the two above, will continue as Medicare
and Medicaid drive toward leveraging the data to improve quality outcomes and reduce costs. Primary
focus has been on the more prevalent diseases, diabetes, heart disease, and stroke but will expand going
forward. Beyond participating in our established initiatives, collaborating with Rosalind Franklin on future
research projects like these may well be of interest to them. They bring the clinician expertise and we
provide the inroads to Illinois practices and providers.
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Kishwaukee Community Hospital With the potential of NU acquiring KCC and our established
relationships involving these healthcare initiatives, we are well positioned to assist, facilitate, collaborate,
and otherwise provide support to NU or KCC in this endeavor.
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Information
Agenda Item 9.b.(12)
September 17, 2015
ANNUAL SPONSORED PROGRAMS REPORT
Funding from external sources supports the research, instruction, service, and engagement missions of
the university by facilitating cutting-edge research and development activities that provide training in our
doctoral and graduate programs, attracting and retaining star faculty as well as high quality staff and
students, and enhancing our capacity to serve as a regional and global university. The Division of
Research and Innovation Partnerships (RIPS) promotes research, scholarship, and entrepreneurship
activities across campus by facilitating faculty research development and institutional collaborations,
submitting grants and contracts, and accelerating the application of new knowledge. The office of
Sponsored Programs Administration (SPA) in RIPS provides comprehensive sponsored funding support to
faculty and staff throughout the funding lifecycle. On May 1, 2015, the office of Grants Fiscal
Administration in the Division of Administration and Finance merged with the Office of Sponsored Projects
to form SPA. The single unit will increase responsiveness to faculty and help increase research
compliance while reducing administrative burden.
During Fiscal Year (FY) 2015, 140 faculty and staff secured 307 awards totaling close to $30 million in
sponsored funding. Research accounted for 46%, instruction for 24%, and public service/other for 30%.
Federal funding continues to be NIU’s largest source of sponsored funding with Federal awards
accounting for 50% of all sponsored funding. State of Illinois awards represented 31% of sponsored
funding and corporate and non-profit dollars accounted for 20%.
Total research funding for FY 2015 was $13.7 million. Research funding increased by 53% between FY
2014 and FY 2015. The College of Liberal Arts and Sciences (CLAS) accounted for the largest share of
research funding, followed by the College of Engineering and Engineering Technology (CEET), and the
College of Health and Human Sciences (CHHS). Since FY 2012, research funding at NIU has grown by
over 90%; particularly notable given federal investments in R&D during this same period were in a phase
of decline and recovery.
Many diverse projects were supported in FY 2015. Building on NIU’s success with broadband funding, the
College of Health and Human Sciences (CHHS) and University Outreach secured Federal funds to expand
the use of health information technology to improve patient-centered approaches to care. Continued
perseverance by faculty in the Department of Psychology resulted in securing highly competitive funding
from the U.S. Department of Education Institute of Education Sciences (IES), the research arm of the
U.S. Department of Education, to develop and test a model to identify the skills and processes necessary
for students to become proficient academic readers. NIU’s early career investigators were also successful
this year in securing funds from the National Science Foundation (NSF) and National Institutes of Health
(NIH). An early career investigator in Anthropology secured the highly coveted and prestigious NSF
CAREER award that integrates research and teaching activities at NIU. The CAREER award will be used to
study the impact of international Nongovernmental Organizations (NGOs) in several rural areas in Haiti,
create a field school for U.S. graduate students, a NGO Summer Institute, and a research methods
seminar. Early career faculty in the Department of Geology and Environmental Geosciences secured
funding from the NSF to model, forecast, and mitigate future drought and water availability dynamics in
Central America. In Nursing and Health Studies, an early career faculty who is part of a nationally
recognized research group earned the NIH’s first grant ever to study microagressions against sexual
minorities. NIU’s relationships with Fermilab and Argonne National Laboratory continue to strengthen
NIU’s research programs in the physical sciences and engineering through the exchange of faculty and
research personnel, graduate student support, and collaborative research programs. Over the past year,
NIU executed 22 funding agreements with these labs totaling $1.3 million.
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