STATE ARCHIVES AND RECORDS COMMISSION

Members present: Dr. Marlene M. Helm, Secretary, Education, Arts and Humanities Cabinet; Paul F. Coates, representing Citizens-at-Large; and Dr. Jack D. Ellis, representing Citizens-at-Large.

Representatives present: Harold McKinney, representing Ed Hatchett, Auditor of Public Accounts; Leslie Smith, representing Robert Sherman, Director, Legislative Research Commission; Jim Ringo, representing A. B. Chandler, III, Attorney General; Geoff Pinkerton, representing Dr. James R. Ramsey, State Budget Director, Governor's Office for Policy and Management; Ed Crockett, representing Joseph E. Lambert, Chief Justice, Supreme Court; and Charles Robb, representing Aldona K. Valicenti, Chief Information Officer, Governor's Office for Technology.

Members not present or represented: Dr. Thomas D. Clark, representing the University of Kentucky; Carolyn Nichols, representing local governments; Cheryl Jones, representing Citizens-at-Large; Shelia E. Heflin, representing the Kentucky Library Association; Dr. William J. Morison, representing regional colleges and universities; Dr. Linda E. Johnson, representing Citizens-at-Large; and Lynne Hollingsworth, representing the Kentucky Historical Society.

Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Jerry Carlton, Manager, Local Records Branch; Jim Cundy, Regional Administrator; Steve Ramey, Regional Administrator; Jim Terry, Administrative Specialist; and Michele Staton, Administrative Specialist.

Guests present: Linda Janes, City of Louisville; Brandon Haynes, Administrative Office of the Courts.

Prior to the meeting, Harold McKinney, Jim Ringo, Ed Crockett, Brandon Haynes and Charles Robb were sworn in.

For the record, Nelson called for introductions of Commission members.

Mr. Coates made a motion to accept the minutes of the previous Commission meeting, seconded by Dr. Ellis. The motion carried.

Return to Top

NEW OR REVISED RECORDS RETENTION SCHEDULES

The schedules for the City of Louisville were considered as a group.

City of Louisville - Emergency Management Agency

Jim Cundy was the regional administrator working on this schedule change. The series being added to the schedule is L5059, Chemical Inventory Forms. The series documents the use or manufacture of hazardous substances, as defined by the Federal Emergency Management Agency (FEMA).

The Louisville Emergency Management Agency (EMA) is authorized under the Louisville/Jefferson County Cooperative Agreement, renewed by the General Assembly in 1998, and operates as a joint agency, with the City acting as fiscal agent. EMA works under directives and guidance from FEMA, the Kentucky Division of Emergency Management, and the Compact Agreement to provide coordinated, effective and efficient plans and responses to disasters, emergencies and 911 services for all citizens of Louisville and Jefferson County; to provide efficient radio communications to the non-emergency sector of local government; to provide an effective outdoor warning system for the community; and to provide education programs for the community. The agency currently supports 28 full and part-time professional, clerical, telephone and radio staff.

A question was raised during the Advisory Committee meeting as to whether there was any agency that retained a long-term record of a site's use and storage of hazardous substances. According to Cundy, the City of Louisville's Division of Fire and Rescue keeps such records for an extended period. Ms. Janes said the records are retained as long as the respective building is intact or the property is still considered contaminated.

Dr. Ellis asked if the information reported on the inventory form changed frequently. Janes said that it is the responsibility of the manufacturer to annually complete the inventory and to send it to the local emergency management agency, where it is retained for three years. Information about the inventory could change from one report period to the next, depending on which chemicals FEMA considered to be hazardous. In response to a question from Belding, Janes said that the list of chemicals the Fire Department retains reflects actual use; that is, the chemicals being manufactured or stored by manufacturers over time.

For motion, see last entry for the City of Louisville.

City of Louisville - Department of Finance

The series being added to the schedule are L5065, Insurance Polices, L5066, General Liability Claims, and L5067, Louisville Area Governmental Self-Insurance Trust Files.

The Louisville Finance and Budget Department exists to ensure financial integrity by directing, coordinating and monitoring all financial functions of the City. The agency provides its services and information to the public and all departments of City government. It consists of the Division of Finance, the Division of Budget and Planning, the Division of Insurance and Risk, and the Division of Cash Management.

Coates asked about the fifteen-year retention period for insurance policies. Janes said that the City's Risk Management Administrator believes that, even though a policy is canceled, it is possible for an individual to file a claim against the terms of a policy previously in effect. The retention period would ensure that information regarding such policies was still in existence. In response to an additional question by Coates, Janes said that the first level of hearing a claim would be with the City, as it is self-insured.

For motion, see last entry for the City of Louisville.

City of Louisville - Department of Housing

The series being added to the schedule are L5050, Investor Rehab Program Files; L5051, Real Property Appraisal Records; L5052, Second Mortgage Forgivable Loan; L5053, Developer's Loan Files; L5054, Lien Releases; L5055, Department of Housing Relocation Files; L5056, Acquisition and Relocation Project Files; L5057, Real Property Title Deeds; and L5058, Home Repair Program Files.

The Louisville Department of Housing, formerly the Department of Housing and Urban Development, is responsible for acquiring, disposing of and managing all of Louisville's real estate property. The Department implements the City's housing strategy through rehabilitation, new construction and the Vacant Lot program. It also plans and identifies areas for housing development; administers and monitors the spending of Community Development Block Grant funds, Federal HOME funds, and City General funds; and maintains deeds and records of all City-owned property. It is composed of the Division of Administrative Support Staff and the Division of Real Estate.

In response to a question raised during the Advisory Committee meeting, Cundy said that series L5056, Acquisition and Relocation Files, applied to both small business owners and homeowners.

For motion, see last entry for the City of Louisville.

City of Louisville - Department of Inspections, Permits and Licenses

The series being added to the schedule are L5060, Energy Systems Assistance Program-Client Files; L5061, Energy Systems Assistance Program-Contractor's Files; L5062, Weatherization Contractor's Files; L5063, Weatherization Client Files; and L5064, Rehabilitation Incentive Program Files.

A question arose during the Advisory Committee meeting about whether contractor files should be retained for longer than three years. Janes said that given the contracts were for low-end kinds of weatherization, such as putting plastic on windows, caulking, etc., that three years was sufficient. The City of Louisville Legal Department also supported a three-year retention period, Janes said.

Mr. Coates made a motion to adopt the schedule changes for the City of Louisville, seconded by Dr. Ellis. The motion carried.

Return to Top

Department of Education - Education Technology - System Support Services

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04999, Local School District Technology Plans.

The structure of the Department of Education was significantly affected in 1990 with enactment of HB 814 and HB 940. The Workforce Development Cabinet was created in HB 814, which required the Department to transfer to the new cabinet the State Board of Adult, Vocational Education and Vocational Rehabilitation; Adult Vocational Education; Office of Vocational Rehabilitation; and Adult Basic Education programs. HB 940, the Kentucky Education Reform Act of 1990 (KERA), was enacted in response to a 1989 Kentucky Supreme Court decision that held Kentucky’s system of common schools to be unconstitutional. KERA provided that positions in the Department of Education were to be abolished, that all employees were to be terminated at the close of business June 30, 1991, and directed the new commissioner of Education to reorganize the Department with new positions, as of July 1, 1991.

On June 28, 1991, the Commissioner issued Executive Order 91-DOE-01, which reorganized the Department of Education. The Kentucky Board of Education hires the Commissioner of the Department of Education, who serves as the chief state school officer. In addition to the Office of the Commissioner, there is the Office of Legal Services and the Office of Communications.

The Department was reorganized again December 16, 1998, pursuant to Executive Order 98-1671. The Kentucky Board of Education hires the Commissioner of the Department of Education. The organizational structure includes two deputy commissioners who head the Bureau of Management Support Services and the Bureau of Learning Support Services. The Bureau of Management Support Services includes the Office of Human Resources and Equity; the Office of District Support Services; the Office of Education Technology; and the Office of Budget and Financial Management. The Bureau of Learning Support Services includes the Office of Special Instructional Services; the Office of Leadership and School Improvement; the Office of Supportive Learning Environments; the Office of Assessment and Accountability; and the Office of Academic and Professional Development.

After a brief discussion, Dr. Ellis made a motion to adopt the schedule change, seconded by Mr. Coates. The motion carried.

Office of the Governor - Education Professional Standards Board

Moses was the records analyst working on this schedule change. The series being added to the schedule is 04998, Teacher Portfolio File - Continuing Education.

Executive Order 2000-851, signed June 30, 2000, established the Board as an independent agency wholly separate from the Department of Education. The Board is under the Office of the Governor and is comprised of the Division of Educator Preparation and Internship; the Division of Certification; the Division of Technology; the Division of Testing and Research; the Division of Legal Services; and the Division of Legislative and Public Relations.

The records of the agency, formerly scheduled under the Department of Education, have been transferred to a schedule specifically for the Education Professional Standards Board. The series transferred are 02500, Teacher Certification Folder; 02501, College and University Teacher Preparation Program Approval File; 03263, Certification Card File; 03264, Trades and Industry Certification Policies; 03265, Beginning Teacher Internship Program Records; 03266, Florida Performance Measurement System; 03267,

Certification File; 04753, Teacher Education Portfolio File-Student Teachers; and 05000, Legal Case Files.

After a brief discussion, Mr. Coates made a motion to adopt the schedule change, seconded by Dr. Ellis. The motion carried.

There then followed a discussion about proxy servers, used by local school districts in the State. According to Robb, proxy servers act as traffic control devices. The servers hold information that the individual would otherwise have to go out on the Internet to retrieve, and employ filters to prevent the inappropriate use of the Internet by students and faculty. Nelson said that David Couch, who is with the Department of Education and who also serves as the Cabinet's chief information officer, raised the issue of how long records on proxy servers should be kept. Robb said there isn't much of a records issue associated with them. According to Robb, the computer is making a record which doesn't really document anything and that disposing of it on a regular basis, after it is no longer needed administratively, should be sufficient. Information from the servers could possibly be used in a lawsuit, for due diligence purposes, if an individual had made inappropriate use of a site. After such proceedings, the record should be discarded, Robb said. Nelson asked whether proxy servers were soon to be employed by the state as a whole. Robb said that it was under consideration by GOT.

Nelson suggested that the Commission might want to issue a position regarding proxy servers and the retention of information they contain. Nelson said that he agreed that the information that would need to be retained would reside elsewhere, rather than on the servers. Robb said that parents are interested in seeing what resides on servers, not just proxy servers, to determine whether schools are doing a good job of filtering information available on the Internet. In response to a question, Robb said that any item retrieved through a search of the Internet goes onto a proxy server. The server then knows what sites have been visited and by whom. Information can be obtained much quicker by using a proxy server then by going out on the Internet. There is a host of issues involved with proxy servers, not the least of which are privacy issues, according to Robb.

Dr. Helm said that based on the discussion at the Commission meeting, it would be appropriate for Mr. Couch and others to raise the issue of proxy servers with a larger group. Nelson said that a statement jointly put out by the Commission and the Governor's Office for Technology might be a good idea.

Return to Top

Local Government Model - Planning and Zoning

Cundy was the regional administrator working on this schedule change. The series being added to the schedule are L5083, Residential Building Plans/File, and L5084, Commercial Building Plans/File.

Cundy explained that the Boone County Building Inspections Commission advised of the need to schedule the above named records. The Commission's primary function is to ensure safe minimum levels of construction through enforcement of the uniform Building Code. It also enforces the Boone County Zoning Regulations, which provide for the safe and orderly growth of the community.

The Advisory Committee raised the question of whether there should be a longer retention period for the building plans for residences than the two years proposed by the Boone County Building Inspections Commission. The Building Commission's contention is that once the certificate of occupancy is issued, it has no legal jurisdiction over any problems with the buildings that might subsequently arise. This would negate any further need for it to retain the plans. Cundy said there are two copies of the plans issued. One is with the builder or architect and one is with the Commission. One solution, Cundy said, is to offer the plans to the owner by publishing their availability, prior to their destruction, much like county clerks do with copies of recorded instruments, such as deeds. Dr. Ellis raised the issue of liability, if problems arise between the building owner and the contractor. Such issues would need to be resolved through court action, according to Cundy.

Dr. Helm made a motion to adopt the schedule change, with provision for the return of plans to building owners, seconded by Mr. Crockett. The motion carried.

Public School District - Central Office - AmeriCorps Program

Cundy was the regional administrator working on this schedule change. The series being added to the schedule are L5068, Final Report; L5069, Time Reporting Records; L5070, Program Budget Form; L5071, State Formula Application; L5072, Juvenile Case Folders; L5073, Personnel Folder; L5074, Quarterly Report; L5075, Member Health Plan; L5076, Child Care; L5077, Annual Accomplishment Review; and L5078, Financial Records.

AmeriCorps is the national service movement that engages Americans of all ages and backgrounds in a domestic Peace Corps - getting things done across America by meeting education, public safety, and environmental and human needs. In exchange for a year or two of service, AmeriCorps members earn educational awards to help pay back student loans to finance college, graduate school or vocational training. President Clinton signed the AmeriCorps program into law September 21, 1993.

The need to schedule the records was brought to the attention of Local Records staff by the Jefferson County Public School system. Jefferson County schools administered the program from 1994 to 1996.

Based on questions by the Advisory Committee, Cundy proposed that series L5074, Quarterly Report, and L5077, Annual Accomplishment Review, be retained as permanent records, rather than three-year records, as initially submitted. This would assure the preservation of detailed information about the program.

There was also a question raised during the Advisory Committee meeting about Time Reporting Records, series L5069, and whether time put in by volunteers and workers in the program went toward retirement. Cundy said only the director and that person's secretary could claim time spent in the program against retirement; volunteers and others could not claim the time.

Mr. Coates made a motion to adopt the schedule change, with the change in retention of L5074 and L5077 to permanent, seconded by Dr. Ellis. The motion carried.

Public School District Model - Safe and Drug-Free Schools

The series being added to the schedule are L5080, Safe and Drug-Free Schools Assessment Folder, and L5081, Safe and Drug-Free Schools Grant Budgets.

The Safe and Drug-Free Schools unit seeks to assess and assist students experiencing substance abuse problems and behavioral or conduct-related problems. It also offers professional development in the areas of alcohol and drug education, gang awareness, anger management, conflict resolution, violence prevention, programs for adjudicated youth, and sexual harassment. The series listed above come through the Jefferson County Public Schools, where the Safe and Drug-Free unit is an outgrowth of the Alcohol and Drug Education unit.

Dr. Ellis made a motion to adopt the schedule change, seconded by Dr. Helm. The motion carried.

Return to Top

Public School District Model - Schools, Pre School to 12

The series being added to the schedule is L5082, Student Test Grades, 9-12, All Subjects. It documents work completed by students toward the earning of high school credits. The series is created by the Jefferson County High School.

The school was founded in 1986 and provides individuals ages 16 and older with a chance to earn a high school diploma, at their own pace and at a time convenient for them. Students may enter at any time of the year, attend classes on a flexible schedule while holding a job or attending to family responsibilities, and graduate when requirements have been met.

The question of whether the series was the equivalent of a grade book was raised during the Advisory Committee meeting. According to Cundy, it is not. The series is more specific in that it documents the actual work completed by a student, not just a grade for work completed. An eventual output of the series would be the student's cumulative folder, which is a permanent record and which is retained by the Jefferson County High School. The disposition of the series has been changed to allow for the destruction of the record one year after completion of the work.

Dr. Helm made a motion to adopt the schedule change, seconded by Dr. Ellis. The motion carried.

Department of State Police - Forensics Laboratories

Moses was the records analyst working on this schedule change. The series being changed is 00086, Laboratory Case File, from three years to fifty.

The Department of State Police was formed on July 1, 1948, when legislation was signed giving its officers full police powers, both traffic and criminal. All offices, facilities, equipment, duties, powers and funds of the State Highway Patrol were transferred to the Department. In 1956, the Department was abolished and it became the Division of Kentucky State Police in the Department of Public Safety. Since 1973, it has been a part of the Justice Cabinet and is headed by a Commissioner (KRS 15A. 020). Its duties and powers are contained in KRS Chapter 16. KRS 16.060 details the duties and powers of the Commissioner and officers of the Kentucky State Police. It responsibilities include detecting and preventing crime; apprehending criminals; maintaining law and order; collecting, classifying and maintaining information useful for the detection of crime and the identification, apprehension and conviction of criminals; and enforcing the criminal as well as the motor vehicle and traffic laws of the Commonwealth. The KSP must also provide security of state facilities located in Frankfort, highway enforcement, and water safety enforcement, as provided in KRS Chapter 235.

After a brief explanation by Moses, Dr. Ellis made a motion to adopt the schedule change, seconded by Dr. Helm. The motion carried.

Kentucky Real Estate Commission

Moses was the records analyst working on this schedule change. The series being added to the schedule are 05001, Applicant Records (Felony) - Approved, and 05002, Applicant Records (Felony) - Denied. The series being changed is 03282, Errors and Omissions Insurance List, from ten years to five.

The purpose of licensure boards is to license and regulate the statutorily designated occupations and professions, in order to protect the public health, safety and welfare. To accomplish this, boards have two primary areas of responsibility: licensure and enforcement. The licensure function deals with entry into the profession. In broad terms, the boards determine an individual’s initial fitness and competency to practice an occupation or profession. Boards process applications for licensure, check qualifications against statutory requirements, administer licensing examinations and issue and renew licenses. The enforcement function involves tasks designed to assure that licensees continue to practice competently after initial licensure. Specifically, boards administer continuing education requirements, process complaints against licensed practitioners, conduct investigations, hold hearings and take disciplinary actions against incompetent or fraudulent practitioners. Disciplinary sanctions range from reprimands to license revocations. In performing certain enforcement functions, board members function in a quasi-judicial capacity.

Mr. Coates made a motion to adopt the schedule change, seconded by Dr. Ellis. The motion carried.

Revenue Cabinet - Tax Administration - Compliance and Taxpayer Assistance

Moses was the records analyst working on this schedule change. The series being added to the schedule is 04997, Lottery Vendor Application File.

The seven-member State Tax Commission created in 1916 was comprised of four state representatives and three state senators selected by the Governor. A new three-member State Tax Commission was created in 1917 and it assumed the duties of the State Board of Valuation and Assessment and the State Board of Equalization. In 1934, the Department of Revenue and Taxation was created and the existing State Tax Commission was authorized to organize the department. In 1936, the Department of Revenue and Taxation became the Department of Revenue and was headed by a commissioner. The Kentucky Tax Commission was established in the department, along with Divisions of General Taxation, Motor Vehicles, Local Finance, and Research and Statistics. The Revenue Cabinet was created by executive order effective July 1, 1982.

The Revenue Cabinet is the chief revenue collection agency for Kentucky State government. As such, it is responsible for administration of General Fund taxes and the major Road Fund taxes, and the assessment of forty-four separate state taxes. The cabinet’s duties include equalization of tax assessments, assessment of public utilities and public service corporations, and enforcement of revenue and tax law (KRS 131.030). The Cabinet is made up of the Office of the Secretary and four departments: Tax Administration, Property Valuation, Information Technology, and Law.

The Department of Tax Compliance, created as the Department of Processing and Enforcement when the Department of Revenue was elevated to cabinet status, was renamed in 1994 as the Department of Compliance and Taxpayer Assistance. Executive Order 97-715, issued on June 11, 1997, renamed the agency the Department of Tax Administration. The department consolidated into one major operating unit all the functional responsibilities related to enforcing Kentucky’s tax laws (except for ad valorem taxes) and processing tax information. The commissioner heads the department and oversees the operations of three divisions: Collections, Field Operations, Compliance and Taxpayer Assistance, and Revenue Operations.

Dr. Helm made a motion to adopt the schedule change, seconded by Mr. Robb. The motion carried.

Return to Top

OTHER BUSINESS

Belding updated the Commission members on the status of the archival facility feasibility study, as well as other aspects of the planning work the Department is currently engaged in. Since the Commission last met, in September 2000, a Request for Proposal was issued to secure a consultant, to be hired under a Personal Services Contract. The Department received responses from three potential vendors. After reviewing the responses, the decision was made to select Hunter Information Management, Inc., with Dr. Greg Hunter as the principal. The contract with Dr. Hunter has been completed and forwarded to the Finance and Administration Cabinet for approval. It is expected that Hunter will make his first visit to the Department December 20^th and 21^st, 2000. Several additional visits are planned for Hunter to meet with Department staff and to conduct focus group meetings with information technology staff and records officers from state and local agencies, and representatives from local government, as well as other groups who frequently use the Department's reference services.

The end product of Hunter's work over the next four months will be the presentation of an assessment report, with a slate of strategic recommendations as to how the Department should proceed in its planning efforts. Hunter will be assessing the likely development of the recordkeeping environment over the next five to ten year period, to try to determine the kinds of records management, records storage and access challenges the Department is likely to face from the client base it serves. Hunter's work will aid the Department in determining whether a building expansion is warranted and if it is, what its character should be, and what functional capacity should be planned for. Hunter will also be assessing the policy environment and framework the Department and the information technology governance community in the state will need to be prepared to deal with, over the same timeframe. Belding said that a key element of the consultant's work would be to look at the processes and issues from the perspective of archival management of records in an electronic format. Another aspect of the work will be to assess the application of the Department's Document Management Digitization System (DMDS) plans, in terms of how that expanded capacity might be configured and how it might relate to a potential building expansion. The work will also look at how DMDS might relate to the relationship the Department has with its client agencies, in terms of the management of electronic records, and whether the potential format conversion of records that weren't "born electronic" would contribute to wider accessibility to and acceptance of electronic public records.

Belding said that it is expected that Hunter's work will provide information that could lead to a Request for Bid for architectural services for a facility expansion, as well as a submission to the Capital Planning Advisory Board, in the spring of 2001. It is also
possible, according to Belding, that there would be an additional planning consultant hired under the state's Strategic Alliance Services (SAS) vendor environment to assist the Department with planning, implementation, and deployment of DMDS. The Department received appropriations in the 2000 session of the General Assembly to do facilities planning and to purchase DMDS equipment. Since the Department does not currently have the space to house the additional equipment, part of the planning has to deal with what it does in the interim and how it moves the process ahead to secure the needed space. The planning would also need to consider, in the event a building addition is approved, how the Department would transition into the new facility.

In response to a question from Coates, Belding said the Department anticipates spending the appropriation it received for the purchase of equipment. In regard to space, the Department is currently involved in building space-planning meetings to find alternatives to allow for the placement of the additional equipment that would be purchased.

Nelson adjourned the meeting at 11:01 a.m.

Return to Top