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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 2017. Next review September 5, 2017 by University Records Officers and the State Archives & Records Commission.  If you have questions or comments about these items please contact WKU Archives

Additions Being Reviewed

This is a new section regarding Radio & Television Records. 

U2600 Federal Communications Commission (FCC) Authorizations & Related Materials

This series represents instruments issued by the FCC that authorize broadcasting or other use of radio transmissions by individuals or companies as required by 47 CFR 73.3527(e)(1). The series also include licenses and permits to construct or modify broadcast facilities.

Access Restrictions: None 

Contents: Series may contain: station's frequency, call letters, operating power, transmitter location, special conditions imposed by the FCC on the station's operation, license issuance and expiration dates. Also contains documents necessary to reflect any modifications or conditions that the FCC has placed on the authorization.

Retention: Retain until replaced by a new authorization, then destroy.

U2601 Federal Communications Commission (FCC) Applications & Related Materials

This series documents the Federal Communications Commission (FCC) application process, as required by 47 CFR 73.3527(e) (2), for licensing; construction permits or special operating authority; or consent to the sale of a broadcast facility.

Access Restrictions: None

Contents: Any application submitted for filing with the FCC and related materials. May include application for consent to the assignment of construction permit or license and supporting documents and/or exhibits, and copies of the FCC decisions pertaining to the application; statements reflecting petition to deny filings, including the name and address of filing party; and consent to the sale of an existing broadcast facility.

Retention: Retain in the public inspection file until final action has been taken on the application. Retain new construction permits and license transfer granted pursuant to a waiver showing until the permit or the waiver is no longer in effect. Retain short-term license renewal applications until final action has been taken on the subsequent license renewal application.

U2602 Contour Maps 

This series covers graphical representations of the area in which a broadcast station provides a particular level of over-the-air signal strength. These maps are required by 47 CFR 73.3527(e)(3) and are submitted with any application tendered for filing with the Federal Communications Commission. They provide general indications of where service is expected to be received from the station but do not account for the availability of a station’s signal carried by cable or satellite service
providers.

Access Restrictions: None

Contents: Service contour map indicating main studio and transmitter location/addresses.

Retention & Disposition: Retain in public inspection file until maps no longer reflect current, accurate information regarding the station, then destroy.

U2603 Ownership Reports & Related Materials 

This series documents ownership of a broadcast station, and is required by 47 CFR 73.3527(e)(4). It lists the entities and individuals holding attributable interests in a broadcast station. Reports are filed every other year and in connection with the sale of a broadcast station.

Access Restrictions: None

Contents: Ownership report filed with the FCC and any subsequent statement filed with the FCC; copy of the contracts listed in such report or an up to date list of such contracts and related materials.

Retention & Disposition: Retain in public inspection file until a new, complete ownership report is filed with the FCC, then destroy.

U2604 Political File

This series, required by 47 CFR 73.3527(e)(5), documents all requests for specific schedules of advertising time by candidates and certain issue advertisers, as well as the final dispositions or "deals" agreed to by the broadcaster and the advertiser in response to any requests. The licensee or applicant must post all of the contents added to its political file in the political file component of its online public file hosted by the Federal Communications Commission. Commercial radio stations in the top
fifty radio markets as defined by Nielsen Audio (formerly Arbitron) that have five or more full-time employees began uploading their public and political files on June 24, 2016. All other radio stations are exempt from online filing until March 1, 2018, when they will begin uploading new public and political files to the online site on a going-forward basis. On that date, these stations must also have uploaded to the online file all existing public file material, with the exception of existing political files which stations are permitted, but not required, to upload to the online public file. Existing political files must be retained, either in the local public file or in the
Commission’s online public file, until the end of the retention period. All television stations have transitioned their political file material to the online file as of July 1, 2014.

Access Restrictions: None

Contents: Requests for broadcast time made by or on behalf of a candidate for public office, notation of the requests and, the charges made, if any, if the request is granted. reconciliation of the deal such as a description of when advertising actually aired, Agreement listing the schedule of time purchased, spot airing time, rates charged, classes of time purchased, any advertising preempted, and the timing of any make-goods of preempted time, as well as credits or rebates provided the advertiser. When free time is provided for use by or on behalf of candidates, a record of the free time provided shall be placed in the political file.

Retention & Disposition: Retain for two (2) years, then destroy. Materials relating to the negotiation between the parties to reach the disposition do not need to be retained.

U2605 Equal Employment Opportunity File

This series documents a broadcast station’s adherence to the Federal Communications Commission’s Equal Employment Opportunity rules and policies for broadcasters. This documentation is as required by 47 CFR 73.2080 and 47 CFR 73.3527(e)(6).

Access Restrictions: None

Contents: Series may contain: an annual EEO public file report listing full time vacancies, number of interviewees and referral source for each vacancy, vacancy filled date and recruitment source for hiree; recruitment sources used; vacancy advertisements and announcements; list and description of undertaken recruitment initiatives, such as job fairs, internships, etc.; FCC Form 396 – an EEO Program Report; FCC Form 397 – an EEO Mid-term Report; ; FCC Form 397 – an EEO Mid-term Report for buyers of a station or new licensees.

Retention & Disposition: Retain in public inspection file until final action taken on the station's next license renewal application, then destroy.

U2606 The Public & Broadcasting Manual 

This pamphlet, required by 47 CFR 73.3527(e)(7) and written by the Federal Communication Commission, is intended to explain in understandable terms the various aspects and purposes of broadcast service, the Commission’s regulation of it, broadcasters’ obligations, and how the public can participate in the Commission’s licensing and other administrative processes involving their local broadcast stations. Licensees may be required to maintain a copy as part of their public inspection file.

Access Restrictions: None

Contents: Federal Communications Commission The Public and Broadcasting Manual.

Retention & Disposition: Retain the most recent version in the public inspection file. Destroy outdated version upon receipt of most recent one.

U2607 Issues / Programs Lists 

This series, required by 47 CFR 73.3527(e)(8), documents programs that provide significant treatment of community issues.

Access Restrictions: None

Contents: Quarterly lists prepared by stations of programs they aired during the preceding quarter that provided the stations’ most significant treatment of community issues. The list shall include a brief narrative describing what issues were given significant treatment and the programing that provided this treatment. The description of the programs shall include, but shall not be limited to, the time, date, duration, and title of each program in which the issue was treated.

Retention & Disposition: Retain in public file until final action taken on the station’s next license renewal application, then destroy.

U2608 Door Lists (Non-Commercial Educational Channels)

This series, required by 47 CFR 73.3527(e)(9), contains lists of donors that support specific programs aired by the non-commercial educational stations.

Access Restrictions: None

Contents: Series may contain donor names, personal/professional information, and contact information, amounts, dates and payment methods.

Retention & Disposition: Retain until two (2) years from the broadcast date of the specific program reported, then destroy.

U2609 Local Public Notice Certifications & Announcements

This series contains a statement from a broadcast station, as required by 47 CFR 73.3527(e)(10), certifying compliance in showing the public on-air announcements required when the station files an application with the Federal Communications Commission for renewal of its broadcast license.

Access Restrictions: None

Contents: Series contains the broadcast dates and times of pre-filing and post-filing notices and announcement text.

Retention & Disposition: Retain as long as the application to which it refers, then destroy.

U2610 FCC Investigations & Complaint Materials 

This series documents evidence collected and steps taken during Federal Communications Commission (FCC) investigations or complaints made to the FCC, as required by 47 CFR 73.3527(e)(11). This is material that has a substantial bearing on an FCC investigation or complaint to the FCC involving a station and of which the station is aware. Some or all of the material in this Series may be excluded from the public file at the Commission’s direction (for example, Letters of Inquiry from
the Enforcement Bureau should be excluded in order to protect the investigation process).

Access Restrictions: 

Contents: Series may include, but is not limited to: Complaints; letters of Inquiry from the Enforcement Bureau; related documentation or correspondence; Notice of Apparent Liability for Forfeiture; Order denying the complaint.

Retention & Disposition: Retain until notified in writing by FCC that the material may be discarded, then destroyed.

U2611 Station Logs

This series, as required by 47 CFR 73.1820 and 47 CFR 73.1840, documents entries made either manually by a person designated by the licensee who is in actual charge of the transmitting apparatus, or by automatic devices to indicate station equipment operating within its proper operating parameters. Required indications of operating parameters must be logged prior to any adjustments to equipment. When values are outside of the prescribed tolerance, the corrected indications must be
logged and accompanied by a notation describing the nature of the corrective action.

Access Restrictions: None

Contents: Series contains either manual or automated entries recording the actual time of each observation, any corrected indications and, if required, the nature of the

Retention & Disposition: Retain logs involving communications incident to a disaster or communications incident to or involved in an investigation by the FCC and about which the licensee has been notified until specifically authorized in writing by the FCC to destroy them. Retain logs incident to or involved in any claim or complaint of which the licensee has notice until such claim or complaint has been fully satisfied or until it has been barred by statute limiting the time for filing of suits upon such claims. Retain other logs required to be kept by station licensees for two (2) years, then destroy. 

U2612 Sponsorship/Underwriter Files

This series represents an announcement, per 47 CFR 73.1212, stating that broadcast matter was sponsored, paid for or furnished fully and the true identity of the person or persons, corporation, committee, association, unincorporated group, or other entity by whom or on whose behalf such payment is made or promised, or from whom or on whose behalf such services or other valuable consideration is received, or by whom the material or services referred is fairly disclosed.

Access Restrictions: None

Contents: Series may contain the contract with the underwriter, the underwriter approved script read on air acknowledging the sponsorship and any related documentation.

Retention & Disposition: Retain contracts until three (3) years after the broadcast, then destroy. Retain other materials until two (2) years after broadcast, then destroy.

U2613 Must-Carry Requests

This Series represents statements required by 47 CFR 73.3527(e)(12) of a non-commercial television station’s decision to be carried on multichannel video program distributor (MVPD) systems, such as a cable system or direct broadcast satellite service. This decision may come about through either negotiated retransmission consent agreements or by mandatory carriage under the Commission’s rules.

Access Restrictions: None

Contents: Dated statement(s) of election.

Retention & Disposition: Retain for duration of election or request period, then destroy.

U2614 Station Recrds - TV Translator Station 

This series documents the station’s compliance with licensing, operating and reporting requirements of the FCC, 47 CFR 74.781. A translator is a facility created to receive a broadcast station over-the-air on one frequency and rebroadcast the same or substantially identical signal on another frequency.

Access Restrictions: None

Contents: Series includes the current instrument of authorization, official correspondence with the FCC, contracts, permission for rebroadcasts, and other pertinent documents.

Retention & Disposition: Retain station logs and records for two (2) years, then destroy.

U2615 Program Files

This series documents the development and creation of programs produced by public university radio and television stations. It contains specific information on the descriptions of, and the supporting documents required in the process of producing programs. It also provides historical data used to plan programs.

Access Restrictions: None

Contents: Series may contain: program descriptions and objectives, production budgets including individual production data, releases for on-air and online appearances, photographic rights and sample photographs, rights for the use of audio and motion video clips and segments, personnel contracts, talent contract, transcripts when available, scripts when applicable, and related documents and correspondence.

Retention & Disposition: Transfer one (1) copy to the University Archives for permanent retention. Retain one (1) copy permanently in the creating unit. Retain excess copies until no longer useful, and then destroy.

Revisions:

There were no revisions proposed for existing series. 

Deletions:

 No series were marked for deletion.

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

Note: documents in Portable Document Format (PDF) require Adobe Acrobat Reader 5.0 or higher to view,
download Adobe Acrobat Reader.

Note: documents in Excel format (XLS) require Microsoft Viewer,
download excel.

Note: documents in Word format (DOC) require Microsoft Viewer,
download word.

Note: documents in Powerpoint format (PPT) require Microsoft Viewer,
download powerpoint.

Note: documents in Quicktime Movie format [MOV] require Apple Quicktime,
download quicktime.

 
 Last Modified 8/24/17