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Western Kentucky University

WKU Records Management - Quarterly Updates

The Kentucky State University Model Schedule commonly called the General Records Schedule, is a tool for the staff and faculty of the Kentucky's public universities and KCTCS institutions to use when managing the records in their offices. It lists common records series created by most units in the university, gives an assessment of their value by indicating when (and if) those records should be destroyed. The General Records Schedule provides administrative and support staff with the necessary information needed to administer unit records in an efficient and cost-effective manner. The records schedule is maintained, revised and approved by the Kentucky Department for Libraries and Archives in conjunction with the university records officers who meet quarterly. The WKU Archivist and Records Officer is authorized to retain any record that he or she deems to have archival value.

Kentucky State University Model Schedule is available in pdf format. 

Contact the WKU Archivist at archives@wku.edu if you have questions about the records schedule or would like to discuss proposed additions, revisions or deletions.


Revision Date: September 2014. Next review December 2014 by University Records Officers and September 2013 by the State Archives & Records Commission.

Additions:

U0653 Promotion / Tenure File

These records document the periodic consideration of faculty who are eligible for changes in rank, tenure status, and/or pay.  These records may include but are not limited to promotion and tenure dossiers compiled and presented by the faculty as well as other materials that are maintained in the dossier folders.  The dossiers may be returned to the candidate once the promotion/tenure process is completed.  These files are maintained separately from regular faculty personnel records (Series U0620), though there may be a record of the decision in the candidate's personnel file.

Access Restrictions: KRS 61.878(1)(a) and (j) 

Contents: This series includes but is not limited to candidate current position description; letters of evaluation; current curriculum vitae or resume; personal statements; activity summary and evaluations of teaching, curriculum development and advising from students, participants/clients, and peers; committee findings; official notification of decision; recommendations of administrative personnel; copies of articles, publications or other scholarly works; awards; performance evaluations and other materials submitted or created as part of the promotion and tenure process.  NOTE: Access is restricted to the following items in the file: peer evaluation forms; letters of evaluation submitted by internal and external evaluators; the reviewee's personal statement; and summative teaching evaluation forms.

Retention: Retain materials not returned to candidate in creating unit until 3 years after official notification of decision, then destroy.  Retain official notification of decision which may be part of the candidate's Personnel File, for 75 years, then destroy.

U1501 Student Financial Aid Program Files

This series documents the general administrative and financial operations of a university's Student Financial Aid Office, including accrediting the program, auditing accounts and evaluating operations.

Contents: Series includes, but is not limited to: Program Participation Agreement; Accrediting and licensing agency review, approvals and reports; state agency reports; audit and review reports; self-evaluation reports. Other records pertaining to financial responsibility and standards of administrative capability; general financial records such as bank statements, records of transactions, program reconciliation reports, records supporting data on required reports.

Retention: Retain until 3 years from end of award year, then destroy.  If the retention period ends before an SFA program review, audit or investigation is completed, relevant records must be retained until completion.  Schools must adhere to the record retention requirements upon their closing, change of ownership, termination or suspension from participation in the SFA programs. 

Revisions:

U0113 Reports - Periodic Activity added "Retain Federal Disclosure Forms until 3 years from date of required disclosure and end of award year (if appropriate), then destroy.

U0422 Disciplinary Warning/Action File - renamed was Disciplinary Action File, retention changed to destroy 3 years after graduation or last date of attendance or 3 years after all sanctions have been met, whichever is longer, then destroy.

U0430 International Student File retention revised by adding retention for incomplete applications.  These will be destroyed 1 year after application terms.

U0459 Transcript Request File retention changed to indicate holds or encumbrances.

U0647 Periodic Payroll Reports (Includes Time Sheets/Time Cards) revised to include all timesheets in one series.  

U1500 Student Financial Aid Documentation File was Student Loan Documentation File.  

Administrative changes made for clarification to the following without changes to retention:

  • U0109 Publications
  • U0112 Reports - Annual or Summary
  • U0400 Academic Action Authorization File
  • U0401 Student Academic Performance File
  • U0406 Applications for Admission or Readmission File
  • U0411 Class Schedules - Faculty Copy
  • U0414 Course Change/Repeat File
  • U0431 Grade Information File
  • U0432 Final Grade Submission Reports
  • U0468 Personnel Records - Students
  • U0478 Appeals File - Students

Deletions:

U0466 Work Study Payroll Files - use U0647 Periodic Payroll Reports

Kentucky State University Model Schedule
Phone:
745-4793
email: archives @wku.edu

Kentucky State University Model Schedule

WKU Records Destruction Form

WKU Records Management 101 & Notes

Faculty Records Management 101

Faculty/Staff:

Suellyn Lathrop, WKU Records Officer

3rd floor Kentucky Building
Hours: Monday - Friday 8 am - 4:30 pm
Summer Hours: Mon-Fri 7:30 am - 3:00 pm

Kentucky State University Model Schedule sections:

U0100 - General records found in most offices
U0200 - Fiscal, see also U1500 & U2200
U0300 - Awards Committee
U0400 - Student / Course
U0500 - Library / Archive / Museum
U0600 - Personnel
U0700 - Physical Plant
U0800 - Student Housing
U0900 - Athletics
U1100 - Food Service
U1200 - Bookstore
U1300 - Police
U1500 - Financial Aid
U1600 - Real Property
U1700 - Medical
U1800 - Sponsored Programs
U2000 - University Attorney
U2100 - Electronic Records
U2200 - Development
U2300 - Animal Diagnostic Laboratories
U2400 - Plant Disease Laboratories

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 Last Modified 10/8/14