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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 2019. Next review December 2019 by University Records Officers and the State Archives & Records Commission.  If you have questions or comments about these items or want something added to the schedule please contact WKU Archives

Additions Submitted for approval September 6, 2019

U10142 Child Care Facility & License Files

This series documents the operation of and services provided by a child care facility by the university. These child care centers are fully licensed by the Cabinet for Health and Family Services (CHFS). Often, the facilities exist as part of an academic program focused on early childhood development and may serve as model program, classroom for training and observation, and research lab.

Access Restrictions: 922 KAR 2:090, Section 9(2)(a) - Child-care center to maintain confidentiality. Universities should consult legal counsel regarding open records matters.

Contents: Series may include: Application; license; enrollment records; progress reports; assessments; immunization records; parental consent forms; activity records; lists of attendees; related documentation and correspondence.

Retention: Retain for five (5) years from date of creation, then destroy.

U1315 Non-Felony Investigation Case File

This series documents all information collected and procedures followed, after an incident/offense report has been filed relating to a case other than a felony. Investigations may include misdemeanors, citations given or violations. An arrest is not always made when a violation has occurred. This file is used in the resolution of the case. These are active, inactive, closed, open and suspended investigative files. Additional note: when cases are “turned over” to other law enforcement agencies, due to jurisdictional reasons and/or certain federal criteria regarding the crime(s) having been met, all information gathered by campus police is provided to the other law enforcement entity.

Access Restrictions: KRS 61.878 (1)(a) and (h); KRS 17.150(2) - Personal information and ongoing investigations only. Universities should consult legal counsel regarding open records
matters.

Contents: Series may contain: Copy of the uniform offense report, copy of the uniform citation report, the investigative report, photos of crime scenes, photos of suspects, interviews, statements from victims/witnesses/suspects, audio and video tapes, arrest warrants, fingerprints, lab information, criminal history information, correspondence, subpoenas, citations, pleas, sentences and prosecution data.

Retention: Retain for seven (7) years or until five (5) years after closure of case, whichever is longer, then destroy.

U1316 Felony Investigation Case File

This series documents all information collected and procedures followed when a felony has been committed. These include robbery, homicide, rape, assaults, wanton endangerment, burglary, larceny, arson, auto theft and all other felonies. This file is used in the resolution of the case. These are active, inactive, closed, open
and suspended investigative files. Additional note: when cases are “turned over” to other law enforcement agencies, due to jurisdictional reasons and/or certain federal criteria regarding the crime(s) having been met, all information gathered by campus police is provided to the other law enforcement entity.

Access Restrictions: KRS 61.878 (1)(a) and (h); KRS 17.150(2) - Personal information and ongoing investigations only. Universities should consult legal counsel regarding open records matters.

Contents: Series may contain: Copy of the uniform offense report, copy of the uniform citation report, the investigative report, photos of crime scenes, photos of suspects, interviews, statements from victims/witnesses/suspects, audio and video tapes, arrest warrants, fingerprints, lab information, criminal history information, correspondence, subpoenas, citations, pleas, sentences and prosecution data.

Retention: Retain for eighty (80) years, then destroy.

U1317 Juvenile Investigation Case File

This series documents all the information collected during an investigation of a juvenile arrest. These investigations may be either for felony or misdemeanor violations. The information collected in a juvenile case is basically the same as any other investigative file and like other files may be used in court cases.

Access Restrictions: KRS 610.320(3) - Records regarding children who have not reached their eighteenth birthday. Universities should consult legal counsel regarding open records matters.

Contents: Series may contain: Copy of the uniform offense report, copy of the uniform citation report, the investigative report, photos of crime scenes, photos of suspects, interviews, statements from victims/witnesses/suspects, audio and video tapes, arrest warrants, fingerprints, lab information, criminal history information, correspondence, subpoenas, citations, pleas, sentences and prosecution data.

Retention: Destroy when the order to expunge is issued or at age twenty-three (23), whichever comes first.

U1710 Prescription Dispensing Folder 

This series documents the process of acquisition, preparation, and distribution of medical drugs by a university pharmacy. A university pharmacy may serve students, staff, patients admitted to a university medical facility, or the general public. Prescriptions may be received and filled from in-person, on-line, or mail order.

Access Restrictions: 45 CFR 164.502 - Protected health information; and KRS61.878(1)(a) - medical information. Universities should consult legal counsel regarding open records matters.

Contents: Series may contain: Medication wholesaler invoices, drug delivery packing slip for drop shipment, purchase order, material management forms, receipt of supplies, treatment order, prescription order, refills.

Retention: Retain for ten (10) years from date of order, then destroy.

U1711 Prescription Audit Documentation

This series documents the records to maintained for compliance with third-party requests. Documentation is used to proved medical necessity of medication dispensed, compliance to contracts and agreements with third-party payers, and compliance with paying governmental programs such as Medicare and Medicaid.
Third-party requests may consist of desktop audits, on-site review, and internal audit activity. 

Access Restrictions: Universities should consult legal counsel regarding open records matters.

Contents: Series may contain: Document request letters, response, results and appeals for desktop and on-site review, Internal quality management, and compliance audit.

Retention: Retain for three (3) years, then destroy.

U1712 Controlled Substance Inventory

This series documents the inventory of controlled substances maintained by a university pharmacy. Per federal Drug Administration (DEA) and Commonwealth of Kentucky statute, a record is kept of all controlled substances received. administered, dispensed, or professionally used otherwise than by prescription. Inventories are conducted at least every two years.

Access Restrictions: Universities should consult legal counsel regarding open records matters.

Contents: Series may contain: date of receipt; name and address of the person from whom received; kind and quantity of drug; receipts; invoices; date of selling, administration, or dispensation; and name of recipient.

Retention: Retain for five (5) years, then destroy.

 

Revisions:

There were no revisions proposed for existing series. 

Deletions:

 U1301 Investigation File - will be replaced by U1315, U1316 & U1317, see above

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

Kentucky State University Model Schedule

Transferring Records to WKU Archives

WKU Records Destruction Form

WKU Records Management 101 & Notes

Faculty Records Management 101

Schedule a Consultation  / Training Session

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 9/4/19