STATE ARCHIVES AND RECORDS COMMISSION

Minutes of the Quarterly Meeting

December 14, 1995

Department for Libraries and Archives

The State Archives and Records Commission met December 14, 1995, in the Board Room, Kentucky Department for Libraries and Archives (KDLA). James A. Nelson, Chairman, presided.

Members present: Dr. Thomas D. Clark, Lexington, representing the University of Kentucky; Paul F. Coates, Louisville, representing Citizens-at-Large; Dr. Jack D. Ellis, representing Citizens-at-Large; Cynthia Etkin, representing the Kentucky Library Association; Dr. William J. Morison, representing regional colleges and universities; Howard T. Goodpaster, representing Citizens-at-Large; and Melba Porter Hay, representing the Kentucky Historical Society.

Representatives present: Leslie Cummins, representing Don Cetrulo, Director, Legislative Research Commission; Regina Grubbs, representing A. B. Chandler, III, Auditor of Public Accounts; Mark Board, representing Stephen N. Dooley, Commissioner, Department of Information Systems; and Perry Ryan, representing Chris Gorman, Attorney General.

Members not present or represented: Robert F. Stephens, Chief Justice, Kentucky Supreme Court; Dr. Roy P. Peterson, Secretary, Education, Arts and Humanities Cabinet; State Budget Director, Governor's Office for Policy and Management; Cheryl Jones, representing Citizens-at-Large; and Jo Leta Hamilton, representing local governments.

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; Lena Jones Turner, Regional Administrator; Jerry Carlton, Regional Administrator; and B. J. Webster, Administrative Secretary.

Guests present: No guests were present.

Chairman Nelson explained that today was the first working day for Dr. Roy P. Peterson, newly appointed Secretary of the Education, Arts and Humanities Cabinet, which explained his absence from the meeting.

Chairman Nelson called for introductions of Commission members.

Minutes of the previous Commission meeting were approved on a motion made by Dr. Clark, seconded by Dr. Ellis. The motion carried.

NEW OR REVISED RETENTION SCHEDULES

General Schedule for State Agencies - Fiscal Records - Personnel and Payroll Records - Miscellaneous Records

Diana Moses was the records analyst working on the re-issue of this schedule. The series being added to the Miscellaneous section of the schedule are: M0046, Videotapes - State Agency Activities; M0047, Photographic File - State Agency Activities; and M0048, Motion Pictures - State Agency Activities.

A General Schedule is a class of records retention schedule which governs the retention and disposition of specified records common to several or all public agencies. The General Schedule for State Agencies is for use by all state agencies, in conjunction with their approved agency-specific retention schedules.

The General Schedule is comprised of three sections: 1) Fiscal Records, which covers most records created as a result of participation by state agencies in the state's uniform financial system; 2) Personnel and Payroll Records, which covers most records created as a result of participation by state agencies in the state's Unified Personnel and Payroll System; and 3) Miscellaneous Records, which covers general kinds of records, such as correspondence, reports, publications, and minutes.

In addition to recommending the addition of the three series noted above, Ms. Moses asked that the Commission members approve the re-issue of the entire General Schedule with an approval date of December 1995. Moses explained that a re-issue of the schedule, which was originally approved by the Commission in April and October 1981, would enhance its credibility with state agencies and aid in its full implementation across state government offices.

Mr. Goodpaster asked if most of the records identified on the General Schedule were computerized, unlike when the schedules were first adopted. Ms. Moses explained that many of the records in the Fiscal, and Personnel and Payroll sections were being created in an electronic format, due to the uniform financial tracking system, known as STARS, and the uniform personnel and payroll system, referred to as UPPS, which were instituted several years ago by the Finance and Administration Cabinet and the Department of Personnel, respectively. However, paper equivalents of the records which now exist in an automated format still are being created by most agencies. These general-type records represent the highest volume of records being created by state agencies, as well as represent the records that proliferate throughout state government.

Nelson said that Kentucky is no different than most state agencies across the nation in that technology is not being used to the fullest extent possible and hard copy creation of records continues to be the norm.

Mr. Ryan objected to the language in the disposition instructions for the three new series, noted above, which provide for the screening, and possible destruction, of non-archival information by Public Records Division staff. He believed the language could be viewed as a delegation of the Commission's statutory authority to decide which public records are to be retained permanently and which may be destroyed to the Public Records Division. He suggested that the language, added to the disposition instructions in the form of a Note, be removed and that agencies be instructed simply to transfer all videotapes, photographs and motion pictures to the State Archives. Nelson also shared Mr. Ryan's concern. According to Moses, the purpose of the language was to ensure that any screening would be done by PRD staff, as opposed to agencies making a decision about what records would be sent to the State Archives and which would not. Belding explained that part of the purpose in having such instructions was to allow for the destruction of duplicate materials which staff might encounter, such as several copies of the same photograph, etc., as well as to ensure that the disposition instructions are being appropriately applied for the records in question.

Dr. Morison made a motion to adopt this schedule, with revised disposition instructions for the three new series, and with a December 1995 re-issue date, seconded by Mr. Coates. The motion carried.

Finance and Administration Cabinet - Department for Facilities Management - Division of Real Properties

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04542, Federal/State Energy Reporting Program Files. This series documents the cooperative program between Kentucky and the federal government to measure energy consumption in state-owned buildings. Kentucky's program was unique in that all 5,200 state-owned buildings were included in the program, not just a select few. The series provides information which will be useful to the development of an energy consumption plan, which is currently underway in the Division of Energy, Natural Resources and Environmental Protection Cabinet. It is intended that the plan will be submitted during the 1996 regular session of the General Assembly for consideration and approval.

The Division of Real Properties is responsible for implementing applicable statutes regarding the acquisition, leasing, inventory, and sale of real property owned or maintained by the Commonwealth, except for right-of-way acquisitions, which are the responsibility of the Transportation Cabinet.

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

Cabinet for Human Resources - Office of the Inspector General

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04494, Agency Record File. The series being changed are 04493, Audit Report File (title change only), and 04495, Audit Workpapers, from a retention of five years to ten years. The series being deleted from the schedule is 724, Agency Index Card File. This series was replaced by 04494, Agency Record File.

KRS 194.030 (12) establishes the Office of the Inspector General as a major organizational unit of the Cabinet for Human Resources. The Inspector General is appointed by the Secretary, with the approval of the Governor, and is directly responsible to the Secretary. The Office conducts audits and investigations to detect fraud or abuse of any of the Cabinet's programs, and carries out licensure and regulatory functions on providers of health and social services. It also notifies and forwards information relevant to possible criminal violations to the appropriate prosecuting authority, and conducts special investigations requested by the Secretary, the Commissioners, or office heads of the Cabinet. The three divisions of the Office are: Division of Licensing and Regulation; Division of Audits; and Division of Special Investigations.

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

Cabinet for Human Resources - Department for Social Insurance - Division of Administrative Review - Collections Branch

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04543, Medicaid Estate Recovery Collection Files. The creation of this record began in April 1995, as a requirement of the federal government. The purpose of the record is to document efforts to recover moneys from estates which have been spent in providing medicaid services to certain individuals.

The Collections Branch collects money from program recipients who have been overpaid due to administrative error, misrepresentation or fraud.

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

Justice Cabinet - Office of the Secretary - Kentucky Law Enforcement Council

Diana Moses was the records analyst working on this schedule change. The series being changed is 02911, Instructor Files - Certified, from a retention of permanent to five years after de-certification.

The Kentucky Law Enforcement Council prescribes standards for the schools at which law enforcement training courses are conducted and the qualifications for instructors at such schools. The approval, issuance and revocation of certificates for these schools and instructors is performed by the Council, as provided in KRS 15A.080 and 15.330.

After a brief explanation of the change by Ms. Moses, Mr. Board made a motion to adopt this schedule change, seconded by Dr. Morison. The motion carried.

State University Model Records Retention Schedule

Diana Moses was the records analyst working on these schedule changes. The series being changed are U0616, Non-Injury Accident Report, from a retention of two years to three years, and U1102, Catering Records File, from a retention of two years to three years, destroy after audit. Administrative changes, which do not require the approval of the State Archives and Records Commission, were made to several other series. Such changes usually involve changes in titles of series, word changes to disposition instructions, and the addition of information about individual series in the form of descriptive notes inserted in the schedule. The series affected by administrative changes are: U0104, Minutes; U0110, Racial/Ethnic Statistical Reports; U0203, Budgets; U0206, Cash Transmittal Letters; U0306, Personnel Applications and Resumes; U0308, Personnel Records - Faculty and Staff; U0309, Personnel Records; U0310, Tenure/Track Applications; U0401, Academic Records - Master; U0426, Entrance Examination Reports; U0429, Final Examination Schedule; U0437, Medical Records; U0441, Placement Scores; U0451, Student File; U0601, Agreement for Salary Reduction; U0617, Payroll Source Document File; U0619, Performance Evaluations; U0620, Personnel File - Master; U0627, Tenure/Track Applications; U0708, Payroll File - Hourly Employees; U0804, Budget Requests; U0904, Surplus Property File; and U1602, Property Appraisal File.

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 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.

The initial components of the Model schedule were created from previously approved university schedules. PRD staff built upon this previous work with each campus to provide a common or "model" schedule to meet the needs of all campuses.

Ms. Moses explained to the Commission members the circumstances surrounding the proposed changes. Staff of the University of Kentucky, over the spring and summer, reviewed each of the 261 individual series to determine their applicability campus-wide. The result of this review was a recommendation by the University that the series noted above undergo changes to further clarify titles and descriptive notations. After careful review of the proposed changes by division staff, the above refinements to the schedule were made for consideration by the Commission.

Moses reiterated that the majority of the changes were administrative in nature and serve to clarify information already present in the schedule. The retention of these series is not affected. Moses further explained that the purpose in submitting the administrative changes to the Commission is to ensure that the members are kept up to date on the status of this very important model schedule.

Dr. Clark said that the University of Kentucky was working in a highly cooperative way to bring its records management program into full compliance with all statutory and regulatory requirements, and that its implementation of the University Model Schedule was further evidence of this. He further stated he believed the University is seeing how fundamental it is to have a good internal, orderly program for the management of its records. Dr. Clark also felt that Dr. Birdwhistell comments during the December 7th Archives and Records Management Advisory Committee meeting were also encouraging. Clark also observed that in his opinion, securing full implementation of a records management program was a challenge at all eight Kentucky public universities, but that there was now reason for optimism on this front.

Belding informed the Commission members that department staff were encouraged by the fact that the University of Louisville had developed an electronic application for the dissemination of the Model. This demonstrates that the Model is a management tool that, if made accessible to staff, can and will be used. The degree to which previous schedules were made accessible to the larger university communities is questionable.

Belding said he was encouraged by the fact that there is more recognition by agencies of the utility of adopting sound internal controls for the management of information, in light of the changes to and expectations of the state's Open Records Act. It is becoming increasingly clear that there is a relationship seen between the credibility of an agency's response to an open records request and the extent to which it has a good records management program in place.

It is also heartening that the University of Kentucky has a designated records officer, Paul Willis, but, in addition, also has named other records liaisons to represent the main campus areas, such as the Medical Center, community college system, Lexington campus, etc. This shows recognition for the need for coordination and involvement of the larger campus community to develop an acceptable program for the management of the University's records. Belding advised the Commission members that the University had taken the next step by requesting that division staff conduct a training session for the liaisons early in the new year.

Dr. Morison asked that an additional change be made to series U0620, Personnel File (Master) (Faculty and Staff), to remove the reference in the descriptive note to disciplinary actions. Ms. Moses will make the change.

Dr. Clark made a motion to adopt these schedule changes, seconded by Dr. Ellis. The motion carried.

Transportation Cabinet - Department of Vehicle Regulation - Division of Hearings

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04544, Application for Motor Carrier Operating Authority Hearing Files, from permanent to three years after case closure.

The Division of Hearings is responsible for all administrative hearings required under KRS Chapter 281.

There being no questions, Dr. Clark made a motion to adopt this schedule change, seconded by Mr. Board. The motion carried.

OTHER BUSINESS

The first item of business was an update by Darrell Gabhart on the status of the re-appraisal of tax assessment books by members of his staff. Gabhart explained that re-appraisal of the series began with work undertaken by Jeffrey Duff in 1993 and continued with efforts by Jerry Carlton and Lena Jones Turner, through consultations with Property Valuation Administrators and County Clerks.

The purpose of the reevaluation was to determine whether or not the series should continue to be maintained as a permanent record, mainly due to the large number of volumes which have been created since 1833. The volume of the series, and the fact that the books are oversized, creates a storage problem but, according to Gabhart, the value of the information contained in the books far outweighs this complication. The older volumes, especially, contain valuable information about economic, social, and cultural conditions, particularly for the period 1833 to 1939, when the informational content changed substantially from the earlier period. As a result of the reassessment, staff have concluded that the series should remain a permanent record because it provides a record of tax assessments and collections, and is the sole record for verification of property worth. The series is used when there is a need for inheritance, divorce or property values verification and is a primary source for genealogy research.

The next item of business was to bring the Commission members up to date on the status of the destruction of recorded deeds in the Madison County Clerk's Office. This issue was also discussed at length during the December 7th meeting of the Archives and Records Management Advisory Committee.

Gabhart advised the Commission members that the situation arose as a result of the identification by Ms. Turner of recorded deeds eligible for destruction in the Madison County Clerk's Office. The Clerk, following the requirement of the statutes, published an advertisement in the local newspaper to advise family members of the existence of the deeds, which represent the property owner's copy presented to the Clerk for filing. All of the deeds identified as appropriate for destruction, which date from the late 18th Century forward, had been duly recorded by the Clerk in Deed Books, which serve as the official, permanent record of property transfer. No one came forward to claim any of the deeds, so destruction procedures began. At this point, several members of the community intervened to stop the destruction by informing the mayor of the action underway. The mayor then confiscated the records and had them moved to an undisclosed location.

Gabhart stressed that the Clerk was acting in accordance with the requirements of the County Clerk's records retention schedule, by identifying the property owner's copy of the deeds as eligible for destruction, and appropriate statutes, by advertising the existence of the deeds so that family members could claim them. There followed a good deal of discussion about the position of the Commission in this matter.

Chairman Nelson said that it might be best for the Commission not to take an official position at this time, while recognizing that the Clerk has acted in accordance with the law, but to try to find a solution responsive to the interests of all parties. Nelson recognized that it was a highly sensitive issue, as members of the Madison County community think they are saving valuable documents.

Dr. Clark agreed that the issue was a sensitive one but noted that the mayor really should not be involved. He said that it was a responsibility of the County Clerk, who has statutory obligations to fulfill. Clark said that these kinds of issues, which are of short duration, will arise from time to time but that the Commission must stay focused on the issue of long-term policy. The Commission should not set a precedent in this matter that will guide similar situations in the future. Chairman Nelson said that it would be so noted that the Commission supports the actions of the Madison County Clerk, in that her actions were in keeping with statutory requirements.

Belding advised the Commission members of the successful transfer of the records of former Governor Brereton C. Jones to the State Archives. Transition efforts began in August, with a final plan for transfers decided upon by October. More than 250 cubic feet of records of the Governor's Office were transferred. Most notable among the transfers was the electronic receipt by the department of the automated indexes to Governor Jones' mail and file logs. The Jones administration marks the first time such files have been electronically transferred to the department. The electronic indexes will serve as the primary tool for access to Governor Jones' subject and correspondence files.

There being no further business, Chairman Nelson called for adjournment, seconded by Mr. Goodpaster. The meeting was adjourned at 11:50 a.m.

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Minutes were approved March 14, 1996.

Last revised March 15, 1996.