The State Archives and Records Commission met December 12, 1996, in the Board Room, Kentucky Department for Libraries and Archives (KDLA). James A. Nelson, Chairman, presided.
Members present: Paul F. Coates, representing Citizens-at-Large; Dr. Jack D. Ellis, representing Citizens-at-Large; Melba Porter Hay, representing the Kentucky Historical Society; Ed Hatchett, Auditor of Public Accounts; Howard T. Goodpaster, representing Citizens-at-Large; Jo Leta Hamilton, representing local governments; and Dr. William J. Morison, representing regional colleges and universities.
Representatives present: Lou Deluca, representing Dr. Roy P. Peterson, Secretary, Education, Arts and Humanities Cabinet; Leslie Cummins, representing Don Cetrulo, Director, Legislative Research Commission; Mark Board, representing Stephen N. Dooley, Commissioner, Department of Information Systems; Victor Fox, representing A. B. Chandler, III, Attorney General; D. J. Simpson, representing Robert F. Stephens, Chief Justice, Kentucky Supreme Court; and Jeff Pinkerton, Policy Analyst, representing Dr. James Ramsey, State Budget Director, Governor's Office for Policy and Management.
Members not present or represented: Dr. Thomas D. Clark, representing the University of Kentucky; Cheryl Jones, representing Citizens-at-Large; and Cynthia Etkin, representing the Kentucky Library Association.
Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Darrell Gabhart, Manager, Local Records Branch; Larry Gillis, Records Analyst; Larry Barnett, AOC Regional Administrator; and B. J. Webster, Administrative Secretary.
Guests present: Linda Sheets, Rachelle Bray and Kathy Gilliland, representing the Revenue Cabinet; and Donna Tucker, representing the Administrative Office of the Courts.
Chairman Nelson called for introductions of Commission members.
Since there were no new members, the swearing-in item on the agenda was dispensed with. Nelson explained that the swearing in of new members would be a permanent item on the agenda to ensure that this important procedure was carried out.
Nelson moved to the next item on the agenda which was the presentation of micrographics certificates. Nelson advised the Commission members that two organizations had met the requirements to become certified laboratories. In the absence of representatives from the organizations, Nelson noted their names for the record. They are Permadoc and Access Information, both of Nicholasville, Kentucky.
Minutes of the previous Commission meeting were approved on a motion made by Mr. Goodpaster, seconded by Dr. Ellis. The motion carried.
As guests were present, the order of the agenda was changed.
Larry Barnett was the regional administrator working on this revised schedule. The series being scheduled are 04491; 00182 to 00186; 01029; 00187 to 00188; 03067 to 03069; 00810; 00189 to 00194; 00811 to 00812; 00195 to 00198; 00814 to 00823; 00199 to 00202; 00824; 00203; 04009 to 04011; 04210; 04212; 00204 to 00206; 04641; 00825 to 00826; 00207 to 00211; 00213 to 00214, a total of 60 series. The records being deleted from the schedule are: 00215; 00827; and 00216 to 00223. The majority of these records are covered by the General Schedule for State Agencies.
The Circuit Courts were created in 1802 by the General Assembly, replacing the (old) District Courts and the Courts of Quarter Sessions. Effective January 1978, the Circuit Courts were given jurisdiction over the (new) District Courts, which were established in 1978. This came about by the ratification of an amendment to the State Constitution in November 1975.
The Sustain automated system was created to fulfill the requirements of the Administrative Office of the Courts in regard to the establishing of a centralized criminal history record information system, as required in KRS 27A.300 - 440. The system provides a statewide link to an individual's record(s) for all convictions and judgments and eliminates the necessity for contacting the various circuit court clerks' offices within the state for record searches. The information documented in the system duplicates, summarizes or replaces many of the 60 series listed on the Post-1977 schedule. Twenty-two series are no longer being created in manual format as a result of the implementation of the Sustain system.
Mr. Belding complimented Mr. Barnett on the work accomplished thus far to revise this very important schedule. Belding recalled for the Commission members that a considerable amount of discussion regarding this schedule had occurred at the September meeting. The primary issue at that time was the level of activity associated with many of the records, particularly case files, after their transfer to the State Archives. According to
Belding, shortly after the September Commission meeting, division staff had a very productive meeting with representatives from the Administrative Office of the Courts regarding the issue of high reference activity levels on these records, as well as the mutual concerns both agencies have in regard to the management of judicial records at the local and state levels. The result of this meeting was an agreement that case files would remain in the individual courts for a period of ten years, then be transferred to the State Records Center where they will remain for a period of 15 years. After 15 years in the Records Center, the records will be transferred to the State Archives Center for permanent retention. By the time of transfer to the Archives Center, the records will be approximately 25 years old and activity levels should be more in keeping with that typically experienced with other archival records.
Many of the questions associated with judicial records are related to the department's continuing challenge to meet storage and space demands both at the State Archives Center and the State Records Center. Belding extended his appreciation to staff in the Administrative Office of the Courts for their willingness to help the department find solutions to these critical issues. Belding then turned the discussion over to Larry Barnett, who was the regional administrator working on this schedule revision.
Barnett explained that the schedule being proposed represents a complete revision of the previous schedule for the Post-1977 judicial records, which was approved by the Commission in 1984. All of the series contained in the schedule have been reevaluated, with the result that several series are proposed for deletion, as they are now covered by the General Schedule for State Agencies. These series are identified above.
Mr. Goodpaster made a motion to adopt this revised schedule, seconded by Dr. Morison. The motion carried.
Diana Moses was the records analyst working on these schedule changes. The series being scheduled are: 04643, Electronic Filing System (Individual Income) - Electronic; 04644, Electronic Filing Control Sheet File; 04645, Declaration for Electronic Filing; 04646, Electronic Funds Transfer System - Electronic; and 04647, Electronic Funds Transfer Authorization File. The series being changed is 04642, Inheritance and Estate Tax File, to allow parts of the file not needed to substantiate or document collection of inheritance taxes to be destroyed. The series being deleted are: 321 to 325; and 327 to 335, a total of 14 records. The series being deleted are either covered by the General Schedule for State Agencies, the General Schedule for Electronic and Related Records, are no longer being created, or are covered by other existing series.
The Revenue Cabinet is the chief revenue collection agency for Kentucky state government. As such, it is responsible for administration of all General Fund taxes, major Road Fund taxes, and the assessment and collection of 44 separate state taxes. The Cabinet's duties include equalization of tax assessments, assessment of public utilities and public services corporations, and enforcement of revenue and tax laws (KRS 131.030). The Cabinet is made up of the Office of General Counsel, the Department of Property Taxation, Department of Compliance and Taxpayer Assistance, and the Department of Administrative Services.
The Department of 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. 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 Department's duties include recordkeeping, providing data services, conducting audits, rendering taxpayer assistance, collecting delinquent taxes, providing word processing services, and enforcing the criminal laws involving revenue and taxation.
Moses gave an explanation of the changes being made, particularly the change involving series 04642, Inheritance and Estate Tax File. Moses advised the Commission members that the change was to allow destruction of documents from the file not needed to document the collection of taxes. This change will also result in cost savings to the Revenue Cabinet, by decreasing the volume of records to be microfilmed. The records which document the collection of taxes include the tax return, which provides a list of properties involved in the settlement of estates, attached schedules, audit bills, and the final acceptance letter, which is the key document supporting the collection of the taxes.
Chairman Nelson said that the Kentucky Information Management Resources (KIRM) Commission is currently studying the issue of electronic commerce. The group assigned to this task is chaired by Nancy Ward, Commissioner of the Revenue Cabinet's Department of Administrative Services. Stephen Dooley, Commissioner of the Department of Information Systems, is interested in pursuing the issue of electronic signatures and the introduction, at a later date, of legislation regarding the acceptance of such signatures and other electronic issues.
Ed Hatchett pointed out that legislation attached to the schedule which identifies the legal retention of tax records was not the most current law. The retention of individual tax returns is five years, not the seven specified in the attachment. Ms. Moses accepted responsibility for not having copied the most current version of the law.
Dr. Ellis pointed out that during the Advisory meeting, questions arose about the deletion of certain federal publications from the schedule. Ms. Gilliland explained that these are federal records, not state records. The publications are used by the Revenue Cabinet as reference material; however, it is not necessary that such records be included on state retention schedules. There was also discussion during the Advisory meeting about the proposed destruction of some of the records associated with the collection of inheritance and estate taxes. Moses and Gilliland explained that the destruction of these records would in no way take away from the usefulness of the series. Property lists are retained as part of the permanent documentation, which was the issue around which most of the discussion during the Advisory meeting occurred. According to Moses, other permanent records which provide historical documentation of the settlement of estates include Probate Case Files, which provide the most complete documentation, and Settlement and Inventory books, which provide additional information.
Dr. Ellis made a motion to adopt these schedule changes, seconded by Dr. Morison. The motion carried.
Diana Moses was the records analyst working on this schedule change. The series being changed is 01724, Personnel Records Jacket (DA 201) File, to allow the destruction of records which do not document details of military service. The series being deleted is 01725, DA Form 201, Personnel Records Jacket Subsequent to 1 January 1941. Information from this series is contained in series 01724 above.
The Department for Military Affairs was created in 1932 and is the official state agency for all military matters (KRS Chapters 36, 37, and 38), disaster and emergency services coordination in the Commonwealth (KRS Chapter 39), and veterans' bonuses (KRS Chapter 40). The Governor is the constitutional commander-in-chief of the forces which are on active duty in the state. The Governor appoints the Adjutant General, who commands the Kentucky National Guard, which consists of the Army National Guard and the Air National Guard, and directs and coordinates all programs of the Department. The Department has responsibility for organizing, equipping, training and housing units of the Kentucky National Guard, which may be called to duty by the Governor in the event of civil strife or disorder, or the occurrence of natural or man-made disasters.
The Military Records and Research Library has the responsibility for receiving, storing, and preserving all military records and historical items of Kentucky veterans and military units that served in the armed forces of the United States, including the Kentucky National Guard, from 1792 to the present.
Moses explained that this change would allow for the destruction of records not needed to substantiate the details of military service. She also explained that the permanent documentation in this file is routinely microfilmed and that each silver master is retained, for security purposes, in the division's micrographics vault. In the past, after microfilming select documentation, the entire file was also retained in hard copy form in the State Archives. Due to its space problems, the department no longer has the option of retaining documentation which represents duplication. The Department for Military Affairs agreed that the hard copy file does not need to be retained, since critical documentation is microfilmed and retained in that format. The Department for Military Affairs maintains a duplicate copy of all microfilm for access purposes. By approving the proposed change, the State Archives will be able to destroy more than 250 cubic feet of redundant records.
After a brief discussion, Dr. Ellis made a motion to adopt this schedule change, seconded by Mr. Goodpaster. The motion carried.
Larry Gillis was the records analyst working on these schedule changes. The series being added to the schedule are 04648, Committee Reports, and 04649, Committee Annual Reports. The series being changed are: 00772, School Visit Report File, from five years to indefinite, destroy after updated; 00776, Continued Provider Approval Application File, from permanent to four years; 00777, Refresher Course Approval Application File, from permanent to indefinite, destroy when no longer offered; and 00779, Offering Approval File, from three years to six. The series being deleted are 00743 to 00745; 00748 to 00751; 00755 to 00757; 00767; 00771; 00778; 00780 to 00782; 00788 to 00789; and 03652. The records being deleted are covered by the General Schedule for State Agencies, are no longer being created, or are included in other scheduled series.
The Board of Nursing approves curricula and standards for schools of nursing, courses preparing persons for licensure, and monitors standards for nurse competency. The Board may evaluate and approve applicant examinations, initial licensing and the renewal of licenses. It also evaluates and approves providers of continuing education. In addition, the Board registers and designates those qualified to engage in advanced nursing practice and conducts hearings for charges calling for discipline of a licensee.
Mr. Gillis explained to the Commission members that the make-up of the Board's schedule reflects a re-organization in which all branch names were changed. Individual series are positioned within the schedule to reflect their respective creators.
After a brief discussion and further explanation of the changes being proposed, Dr. Morison made a motion to adopt the schedule, seconded by Mr. Board. The motion carried.
Nelson informed the Commission members of the November 6th event, in which the Governor and Mrs. Patton, legislative leadership, and cabinet officials toured both the State Archives Center and the State Records Center's main facility, located at 851 East Main Street, Frankfort. Dr. Thomas D. Clark hosted the tours and the luncheon that followed. The purpose of the event was to garner support for a new Records Services Center facility, which would be an addition to the department's main building. He also advised the Commission members that Richard Belding was working on a single page document to be presented to Governor Patton and cabinet officials, which will provide critical information about the need for the building addition.
Jeff Pinkerton, who is with the Governor's Office for Policy and Management, also toured the State Archives and State Records Center facilities and subsequently made some very positive contributions to the proposal for the records services center building addition. At his suggestion, the projected storage capacity of the building was increased to ensure sufficient space for the next 25 years. His suggestion is also related to the issuance of bonds to secure financing for building projects. Such bonds are normally issued for a twenty-year period, as supported by the Capital Planning Advisory Board.
In the meantime, according to Nelson, the department is looking at strategies to deal with its current space and storage problems. Under a best case scenario, if a new building addition was approved during the 1998 Regular Session of the General Assembly, it would be a minimum of three years before it would be ready for occupancy. Division staff have been working with the Finance Cabinet's Division of Real Property to secure additional space needed to meet the department's current space and storage needs, while at the same time moving forward with the planning for the new building addition.
Nelson mentioned the role of Empower Kentucky and its support of the increased use of electronic technology for agency business purposes. At this time, however, most electronic systems function not as recordkeeping systems but as document management systems, making their relevance as recordkeeping systems questionable.
Belding advised the Commission members of the steps being taken to meet the department's near term storage and space needs. According to Belding, the State Archives is currently at capacity and the State Records Center, with no additional expansion, will reach capacity in 1998. The division has stated its interest to the Division of Real Properties in securing additional space on the first floor of the Ancient Age warehouse, which currently houses the adjunct State Records Center, that will become vacant June 30, 1997. With the securing of this additional space and the installation of new shelving, the Records Center will be able to extend capacity to December 2000. At that time, it is projected that the Records Center will contain more than 125,000 cubic feet of records. The State Archives, which grows at a much lower rate, will have projected holdings of more than 107,000 cubic feet.
Belding said it was useful to look at some of the benchmarks in terms of budget and capital construction calendars that will be encountered between now and the year 2000. The next cycle for reviewing capital construction projects will be early in the new year. April 15th is the deadline for submission of capital construction requests. This is the six-year planning cycle, which is undertaken by state government every two years to update six-year plans. It is at this point that the department will again put forth its proposal for a new records services center building. This will be the sixth budget cycle during which the department has proposed a building addition. If the normal calendar operates, the projects will be reviewed and evaluated by the Capital Planning Advisory Board during the late spring and early summer. During this time, hearings may be held in which agencies that have proposed building projects will be invited to come forward to explain capital construction requests in more detail. The submission of building projects also dovetails with the state budget process, which gets fully underway in the late summer. Also occurring this summer will be the Kentucky Information Resources Management (KIRM) Commission's review of state agency information resources plans. (Nelson also chairs this commission.) In January 1998, the legislature will meet and it will be during that session that the department will know if its building request is approved. Belding reiterated that if the department's building request is approved in 1998, occupancy in the new facility will not occur before 2001.
Belding also said that actions such as the approval of the change to the Department for Military Affairs' schedule, which will allow the department to destroy more than 250 cubic feet of redundant records, help in the continuing struggle to maintain sufficient space for true archival storage. He identified two other projects which resulted in the return of 49 cubic feet of correspondence of the Mayor of Louisville, dating from 1928 to 1966, to the City of Louisville Archives and 129 cubic feet of Inventory and Settlement Books, also from Jefferson County, to the Jefferson County Archives. These records cover the period 1800 to 1940. Department staff are continually looking for candidates of this sort to free up much needed space and to ensure that such records are in the most appropriate repositories.
Belding echoed previous remarks by Chairman Nelson regarding the recent visit by the Governor, legislative leadership and key cabinet officials for tours of the Archives Center and the State Records Center. One of the issues department staff were able to emphasize several times during that visit is the direction the department is going in, and department staff believe Empower Kentucky may be going in, and that is beginning an initiative to create electronic recordkeeping systems, where the electronic environment will be the one in which the record is created, maintained, used and preserved, rather than agencies, for legal, fiscal and administrative reasons, continuing to feel the need to print out copies of records to meet these other purposes. The net result of this, in the near term, is to create more paper, which then requires conventional storage. What must happen is a shift in design strategy and policy, as well as a change, which is apt to take a longer period of time, in the business culture of government. Those changes have already occurred in private industry and in some sectors of government, which gives reason for encouragement; however, there is still a long way to go in most areas of government. Nelson said that Empower Kentucky would be making some recommendations on how technology is managed in state government, which will affect KIRM and other state agencies, and which should better promote some of the issues Belding mentioned.
There were several questions about the location of the department's adjunct records center, which is located on the grounds of the Ancient Age Distillery. Belding said that although it is not ideal space, it is the best the department can do, given the absence in Frankfort of affordable warehouse space. Belding reiterated that the warehouse space the department occupies on the Ancient Age grounds is also shared with other state agencies, which is not an ideal situation.
Mr. Coates raised the question of regional archives, since the department is attempting to return collections to local areas that were previously maintained in the State Archives. Belding said he thought there was a possibility of more interest in regional archives but that there were others with similar interests who would need to be consulted on this question. Coates believes the question merits more interest as the Archives evolves. According to Belding, though there is no formal committee to study this issue, the department's strategic planning efforts are giving consideration to the construction of facilities as a major objective and that the concept of regional archival facilities could form part of that same discussion.
Coates believes such discussions would be helpful and would take some of the burden from the Commission by extending the discussion to a wider audience. Nelson said department staff would engage in additional conversations about this issue and would make recommendations at the March meeting of the Commission.
Dr. Ellis asked that the minutes reflect the Commission's congratulations to Dr. Clark on his recent marriage.
On a motion by Mr. Goodpaster and a second by Mr. Coates, the meeting adjourned at 10:45 a.m.