STATE ARCHIVES AND RECORDS COMMISSION

Members present: Dr. Thomas D. Clark, representing the University of Kentucky; Paul F. Coates, representing Citizens-at-Large; Dr. Linda E. Johnson, representing Citizens-at-Large; Dr. Jack D. Ellis, representing Citizens-at-Large; and Dr. William J. Morison, representing regional colleges and universities.

Representatives present: Leslie Smith, representing Robert Sherman, Director, Legislative Research Commission; Victor Fox, representing A. B. Chandler, III, Attorney General; and Ralph Long, representing Ed Hatchett, Auditor of Public Accounts.

Members not present or represented: Dr. Marlene M. Helm, Secretary, Education, Arts and Humanities Cabinet; Carolyn Nichols, representing local governments; Lynne Hollingsworth, representing the Kentucky Historical Society; Stephen N. Dooley, Deputy Chief Information Officer, Governor's Office for Technology; Shelia Heflin, representing the Kentucky Library Association; Cheryl Jones, representing Citizens-at-Large; Dr. James R. Ramsey, State Budget Director, Governor’s Office of Policy and Management; and Judge Joseph E. Lambert, Chief Justice, Kentucky Supreme Court.

Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Darrell Gabhart, Manager, Local Records Branch; Jim Terry, Administrative Specialist; Michele Staton, Administrative Specialist; and B. J. Webster, Administrative Secretary.

Guests present: No guests were present.

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

Minutes of the previous Commission meeting were approved on a motion made by Mr. Coates, seconded by Mr. Fox. The motion carried.

NEW OR REVISED RECORDS RETENTION SCHEDULES

Department of Charitable Gaming

Moses was the records analyst working on this new schedule. The series being scheduled are 04895, License File; 04896, Inspection Report File; 04897, Quarterly Report File; 04898, Investigative Case File; 04899, Audit File; and 04900, Case Files - Administrative Proceedings.

The Division of Charitable Gaming was created in 1994, as part of the Justice Cabinet. In 1998, the division was elevated to a department and was placed in the Cabinet for Public Protection and Regulation. The Department is empowered to license and regulate the conduct of charitable gaming and to license and regulate charitable gaming organizations, facilities, manufacturers and distributors in Kentucky (KRS 238.510). The Charitable Gaming Advisory Commission provides ongoing advice and input to the Department and the General Assembly to assist in establishing effective policy for the licensing and regulation of charitable gaming.

Moses provided background for the creation of the agency and explained that it did not receive an appropriation from the General Fund to operate. Under statute, licensees must return 4/10 of one percent of gross gaming receipts to the agency to be used as operating funds. Licensees also are required to retain 40% of gross receipts for charities.

After a brief discussion, Dr. Clark made a motion to adopt this new schedule, seconded by Dr. Johnson. The motion carried.

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Revenue Cabinet - Department of Law

Moses was the records analyst working on this revised schedule. The series being added to the schedule are 04907, Research Studies File; 04908, Attorney's Case File (Non-Permanent); 04910, Final Rulings File; 04911, Kentucky Amnesty File; 04912, Kentucky Amnesty Database; and 04913, Offer and Settlement File. The series being changed are 03214, Answer and Cross Claim File; 03215, Specific Lien Release File; 04905, Audit Report and File; 04906, Research Studies File; 04909, Attorney's Case File (Permanent); and 04914, Receipt of Land Redemptions/Certificate of Delinquency File. The series being deleted from the schedule are 37 to 38; 40 to 44; 51 to 66; 68 to 86; 214 to 215; 250; 256; 274 to 276; 03209 to 03213; 03217 to 03218; 03220 to 03222; and 03224.

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 former Office of General Counsel was elevated to Department status by Executive Order 97-715, issued June 11, 1997 and confirmed by 1998 HB 503. There are five divisions in the Department: Legal Services, Tax Policy, Research, Protest Resolution and Collections.

Moses informed the Committee members that this submission completes the work to revise the entire schedule for the Cabinet. The completed schedule will be re-submitted at the March meeting of the Commission to ask for a new schedule date. Moses also made reference to the number of series that are being deleted. The deleted series are covered by the General Schedule for State Agencies, are no longer being created, have been transferred to other agencies, or are contained in other series currently on schedule.

Dr. Morison made a motion to adopt this new schedule, seconded by Dr. Ellis. The motion carried.

Kentucky Higher Education Student Loan Corporation

Diana Moses was the records analyst working on this new schedule. The series being scheduled are 04886 to 04892 and 04921 to 04967, a total of fifty-four records. Of the fifty-four series, six are automated systems.

The Corporation was created in 1978 and is governed by a board of directors (KRS 164A.050). The Executive Director of the Kentucky Higher Education Assistance Authority serves as the Executive Director of the Corporation. The Corporation's statutory powers include the making, purchasing, or selling of insured student loans; procurement of insurance in respect to all student loans; and making agreements with any federal or state agency, person, corporation, association, or entity to accomplish its statutory purposes. In 1996, legislation required that by January 1, 1997, the board of the Kentucky Higher Education Assistance Authority and the board of the Kentucky Higher Education Student Loan Corporation submit to the Governor, the Legislative Research Commission, and the Finance and Administration Cabinet a plan for the future organization and operation of the two agencies (KRS 164A.011). In addition, the Interim Joint Committee on Education and Capital Projects and Bond Oversight Committee of the General Assembly are to study the organizational structure of the two agencies to determine whether they are appropriately structured to meet the financial assistance needs of Kentucky's students in the 21st Century. The Corporation is comprised of the following: Executive Office; Human Resources; Information Systems; Debt Recovery; Loan Servicing; and Financial Services.

Moses explained that this new schedule contains approximately fifty-four series, six of which are electronic systems. The bulk of the agency's recordkeeping is managed through the use of automated systems. Most of the paper generated by the agency results from the use of automated systems, in the form of printouts, etc. In addition, many records that would normally be managed under the General Schedule for State Agencies appear in the schedule, as the Corporation is not part of the state's uniform financial and personnel and payroll systems. It can use the General Schedule for the management of records such as correspondence, publications, reports, and other miscellaneous series. Most of the paperwork of the agency is financial in nature, given its responsibilities to make, sell, purchase, collect and service student loans.

Dr. Clark made a motion to adopt this new schedule, seconded by Mr. Fox. The motion carried.

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Governor's Office for Technology - Year 2000 Records

Moses was the records analyst working on this new schedule. The series being scheduled are 04915, Project Management Records; 04916, Fiscal Records; 04917, Contract Record File; 04918, Assessment Record File; 04919, Systems Record File; and 04920, Documentation Checklist File.

The Governor's Office for Technology (GOT) was created by Executive Order 99-1359, dated October 6, 1999. The Chief Information Officer (CIO) heads the Office, as set forth in KRS 61.936. The CIO provides direction, stewardship, leadership, and general oversight of information technology and information resources for the Commonwealth, and reports to the Secretary of the Governor's Cabinet.

The Office is comprised of six executive offices, each headed by an executive director. The offices include the Office of Geographic Information; the Office of Human Resource Management and Development; the Office of Administrative Services; the Office of Policy and Customer Relations; the Office of Infrastructure Services; and the Office of Consulting and Project Management. Executive Order 99-1359 also established the Kentucky Information Technology Advisory Council. The Council advises the CIO on approaches to coordinate information technology solutions between libraries, public schools, local governments, universities, and other public entities. The Council provides a forum for the discussion of emerging technologies that enhance electronic accessibility to various publicly funded sources of information and services.

As a result of the creation of the Office, the following agencies were abolished and their duties transferred to GOT: the Department of Information Systems; the Kentucky Information Resources Management Commission; the Office for the Kentucky Information Resources Management Commission; and the Communications Advisory Council. In addition, the Office of Geographic Information Systems, the Geographic Information Advisory Council, and the Commercial Mobile Radio Service Emergency Telecommunications Board of Kentucky were transferred to the Governor's Office for Technology.

Moses explained that the series being scheduled comprise the records created to resolve the year 2000 technology problems. Series 04920, Documentation Checklist File, which identifies the physical location of year 2000 records in agencies, will be transferred to the Department after January 1, 2000, for security purposes.

In response to a question by Mr. Fox, Moses said that the records are in both paper and electronic formats. Dr. Ellis asked if the retention of the records was in keeping with other similar records. Moses explained that the schedule is unique in that it will be used to manage year 2000 records only. The retention of the records is based on best practice.

Dr. Johnson asked if the schedule would be disseminated to the universities. Moses said that it would.

After additional discussion, Dr. Ellis made a motion to adopt this new schedule, seconded by Mr. Fox. The motion carried.

There followed a discussion about the creation of the Governor's Office for Technology. Please refer to the agency description above for more information.

County Model - County Clerk - Personal Property

Jerry Carlton was the records analyst working on this schedule change. The series being added to the schedule is L1365, Termination Statement. The series was deleted from the County Model schedule and grouped with series L1362, Financing Statement File, and approved by the Commission at its June 1999 meeting. Since that action was approved, staff has learned that some county clerks maintain the termination statements in a file separate from the financing statements, which necessitates the addition of the series to the schedule. In Carlton's absence, Gabhart gave a brief explanation of the change.

Mr. Fox made a motion to adopt this schedule change, seconded by Dr. Johnson. The motion carried.

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Department for Libraries and Archives - Public Records Division - Publications Program

Moses was the records analyst working on this schedule change. The series being added to the schedule is 04902, Core State Publications File. The series documents a complete set of state agency publications held by the Department through 1998, in a microfilm format. The series will serve as a processing file for conversion of the publications to a digital format. The publications identified in the series are considered essential in providing minimal reference service on Kentucky topics.

In 1833, the General Assembly created the office of State Librarian, who was elected to the position. In 1910, the five-member Library Commission was created to assist, advise and counsel all school, state institutional, free and public libraries, and all communities on library management. The Department was created in 1936 and assumed the duties of the Library Commission. The Governor was authorized to appoint the State Librarian. In 1954, the Department was abolished. The Library Extension Division continued as an independent agency of state government. In 1962, the Division became the Department of Libraries. It was reorganized in 1973 and renamed the Kentucky Department of Libraries and Archives. In 1982, it was named the Department for Libraries and Archives. The Department addresses the state's information and knowledge needs by initiating and directing statewide activities for library and archive development and for public records management. In 1990, it was directed to establish a clearinghouse for information on Kentucky authors, including a statewide index of works and collections held by libraries in Kentucky. The State Archives and Records Commission is a seventeen-member body that advises the Department on matters relating to archives and records management, including the destruction of records (KRS 171.420). Four divisions administer the Department's programs: Field Services, State Library Services, Public Records and Administrative Services.

The Public Records Division prescribes and maintains standards and procedures for recording, managing, preserving and reproducing state and local government records. It also provides technical assistance and policy guidance to state and local agencies in the areas of records management, electronic records management, archival management, micrographics and documents preservation. The division operates the State Archives, which is the central repository for permanent state and local records, and provides access to those records. It also operates the State Records Center (a central repository for state agency records of non-permanent value), a micrographics laboratory and a documents preservation laboratory. In addition, the division administers a grants program in records management to local governments.

Dr. Ellis made a motion to adopt this schedule change, seconded by Dr. Morison. The motion carried.

Personnel Cabinet - Department of Personnel Administration - Division of Employee Records

Moses was the records analyst working on this schedule change. The series being added to the schedule are 04893, Health Enrollment Application File, and 04894, Group Health Insurance Contract File.

On December 13, 1995, Executive Order 95-19 created the Personnel Cabinet, and transferred to it all powers and responsibilities of the Department of Personnel. The 1996 session of the General Assembly failed to confirm the Executive Order. On July 11, 1996, Executive Order 96-909 was issued to again create the Personnel Cabinet. Executive Order 96-909 also abolished the position of commissioner of Personnel.

The Division of Employee Records is responsible for maintaining the central personnel files (KRS 18A.020); processing personnel documents and position actions; operating and maintaining a uniform payroll system; implementing lay-off plans (KRS 18A.113); certifying payrolls (KRS 18A.125); and monitoring and assisting agencies in complying with the provisions of the Federal Fair Labor Standards Act.

Moses informed the Committee members that the Personnel Cabinet assumed responsibility for employee health enrollment in 1997. Previously, health enrollment had been the responsibility of the Health Purchasing Alliance, which was phased out prior to 1997. Moses also informed the members that health enrollment documentation is scanned into the Cabinet's image management system. The hard copy enrollment forms are destroyed after scanning and verification, making the digital format the official record copy.

During the Advisory Meeting, there was a good deal of discussion about the definition of the term "eligibility" and its application in the disposition instructions for series 04893, Health Enrollment Application File. According to Moses, who received clarification from the Personnel Cabinet, eligibility means an individual is a state employee or retiree and is, therefore, eligible to enroll in the health insurance program.

In response to a question from Dr. Johnson, Moses explained that the hard copy record would be destroyed after imaging and that the "official record" would be the electronic record. During 1998, the first enrollment period after the Personnel Cabinet assumed responsibility for the health insurance program, more than 200,000 applications were filed. Such a high volume of applications is not easily managed in a manual environment. Moses also explained that several other programs operated by the Cabinet are also imaged, such as group life insurance records, deferred compensation records, applications for employment, and the master personnel file. The agency is gradually moving to an all electronic environment.

Dr. Morison asked if many records were maintained in electronic storage devices, as opposed to storage of hard copy. Dr. Johnson said that Western Kentucky University maintains a number of student records only in an electronic format. In the case of Western, an electronic system to manage student records was implemented in 1991. Prior to 1991, hard copy records exist, meaning that the university operates under two recordkeeping systems. Coates and Clark raised several questions regarding preservation of such long-term information. Gabhart said that digitized records could be converted to microfilm, as a preservation method.

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

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Kentucky Racing Commission

Moses was the records analyst working on this schedule change. The series being changed is 00965, Application File, from permanent to five years. The series being deleted from the schedule are 00736, Master License File (Harness Racing); 00738, Master File and Mailing List; and 00739, Motion Pictures. Series 00736 is included in series 00965 and series 00738 and 00739 are covered by the General Schedule for State Agencies.

The General Assembly established a State Racing Commission in 1906. The Kentucky State Racing Commission was created in 1960 to regulate thoroughbred racing and the conduct of pari-mutuel wagering on thoroughbred racing. In 1992, the General Assembly abolished the Kentucky State Racing Commission and the Kentucky Harness Racing Commission and created the Kentucky Racing Commission (KRS Chapter 230). The Commission is composed of eleven commissioners and an Executive Director, each of whom is appointed by the Governor.

The Commission is responsible for licensing racing associations to conduct race meets, and for assigning dates and establishing conditions for the conduct of racing and wagering. It serves a quasi-judicial function by hearing appeals from the decisions of
stewards and other racing officials. It must approve applications by licensed tracks for a simulcast facility, and may establish safety standards for jockeys. Several special equine programs and funds are under the jurisdiction of the Commission.

After a brief explanation by Moses, Dr. Clark made a motion to adopt this schedule change, seconded by Dr. Morison. The motion carried.

The following schedules were voted on as a group.

Revenue Cabinet - Property Valuation - State Valuation - Public Service

Moses was the records analyst working on this schedule change. The series being changed is 04901, Public Utilities Tax Roll File, formerly Franchise Tax Books. The series documents the certified assessments of real and personal property of public utility companies in Kentucky.

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 service 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 Valuation, Department of Compliance and Taxpayer Assistance, and the Department of Administrative Services.

The Department of Property Valuation (previously the Department of Property Taxation) is responsible for the administration and supervision of the programs and processes involved in state and local property tax assessment and equalization, and in state and
local tax collection. The general authority is outlined in KRS 13.020 - .030; however, numerous statutes in KRS 131, 132, 133, 134 and 136 define and describe the Department’s duties. These include providing administrative support, technical assistance and supervision to 120 Property Valuation Administrator’s offices and the coordination of the property tax activities of sheriffs, county clerks and other local officials. In addition, the Department directly assesses public service companies and various other classes of property; administers the centralized Motor Vehicle Tax System (MOTAX); administers the centralized Intangible Property Tax Assessment System; administers a program to audit taxpayer compliance in listing intangible and tangible personal property; administers the mapping program; and administers programs to collect delinquent and omitted taxes.

The Department consists of three divisions: Local Valuation; State Valuation; and Technical Support.

Please refer to motion below.

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Revenue Cabinet - Department of Property Valuation - Property Valuation Administrator

Moses was the records analyst working on this schedule change. The series being added to the schedule is 04968, Notice of Assessment File. The series being changed is 03477, Executive Order Correcting Erroneous Assessment, from seven years to twelve.

Please refer to motion below.

Revenue Cabinet - Office of the Secretary

Moses was the analyst working on this schedule change. The series being changed are 04903, Master Forms Control File, from destroy when obsolete to permanent and 04904, Forms Control Card File, from destroy when obsolete to five years. The series being deleted from the schedule are 17, Master Control Manual, and Mailing Lists. Series 17 is no longer being created and series 18 is covered by the General Schedule for State Agencies.

The Office of the Secretary was created as part of the 1982 reorganization of the Department of Revenue.

Mr. Fox made a motion to adopt the schedule changes for the Revenue Cabinet, seconded by Dr. Johnson. The motion carried.

The following schedules were voted on as a group.

State University Model Records Retention Schedule - Student/Course Records

Moses was the analyst working on this schedule change. The series being added to the schedule is U0478, Appeals File - Students. The series documents the appeals filed by students, as a result of decisions rendered by the various campus standing committees.

In September 1991, Commissioner James A. Nelson informed each of the university presidents about the department’s plans to create, in cooperation with each campus, a model retention schedule for use by each of the state’s eight public universities. Prior to the idea of creating a model schedule, Public Records Division (PRD) staff had attempted to work with each campus to create individual schedules. Over the years, several such schedules were developed and approved by the State Archives and Records Commission, including complete schedules for Eastern Kentucky University and the University of Kentucky. Scheduling of university campuses began with the University of Kentucky, in the late 1970s, and extended to the development of partial schedules for most of the remaining universities, with the last partial schedule developed for Morehead State University in the late 1980s.

Please refer to motion below.

State University Model Records Retention Schedule - Medical Facilities

Moses was the records analyst working on this schedule change. The series being added to the schedule is U1703, Diagnostic Files. The series documents the evaluation of students referred to the Diagnostic Network Coordination Center, or similar unit, by respective school systems.

Please refer to motion below.

State University Model Records Retention Schedule - Sponsored Programs

Moses was the records analyst working on this schedule change. The series being added to the schedule are U1800, Grant Proposal File - Funded; U1801, Grant Proposal File - Not Funded; U1802, Research Files - Human Subjects; and U1803, Research Files - Animal Subjects.

Based on a suggestion by Dr. Curry during the Advisory Meeting, the disposition instructions for series U1802 and U1803 will be changed to include "unless otherwise specified by the terms of the grant contract." The disposition instruction for both series would read as follows: destroy three years after completion of research, unless otherwise specified by the terms of the grant contract.

Dr. Johnson made a motion to adopt the schedule changes for the State University Model, seconded by Dr. Ellis. The motion carried.

OTHER BUSINESS

Nelson informed the members of the meeting schedule for the coming year. There being no other business, the meeting was adjourned at 11:00 a.m., on a motion by Dr. Ellis and a second by Dr. Morison.

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