STATE ARCHIVES AND RECORDS COMMISSION
Minutes of the Quarterly Meeting June 12, 1997 Department for Libraries and Archives
Introduction
New or Revised Retention Schedules
Other Business
Local Records Grant Review
The State Archives and Records Commission met June 12, 1997, in the Board Room, Kentucky Department for Libraries and Archives (KDLA). James A. Nelson, Chairman, presided.
Members present: Dr. Thomas D. Clark, representing the University of Kentucky; Paul F. Coates, representing Citizens-at-Large; Ed Hatchett, Auditor of Public Accounts; Dr. William J. Morison, representing regional colleges and universities; Dr. Jack D. Ellis, representing Citizens-at-Large; and Cynthia Etkin, representing the Kentucky Library Association.
Representatives present: Lou DeLuca, representing Dr. Roy P. Peterson, Secretary, Education, Arts and Humanities Cabinet; Leslie Smith, representing Don Cetrulo, Director, Legislative Research Commission; Victor Fox, representing A. B. Chandler, III, Attorney General; and Mark Board, representing Stephen N. Dooley, Commissioner, Department of Information Systems.
Members not present or represented: Melba Porter Hay, representing the Kentucky Historical Society; Howard T. Goodpaster, representing Citizens-at-Large; Carolyn N. Murphy, representing local governments; Cheryl Jones, representing Citizens-at-Large; Robert F. Stephens, Chief Justice, Kentucky Supreme Court; and Dr. James Ramsey, State Budget Director, Office of Policy and Management.
Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Jerry Carlton, Regional Administrator; Lena Jones Turner, Regional Administrator; Gerald Thompson, Regional Administrator; Jim Terry, Records Analyst; and Teresa McChesney, Contract Specialist.
Guests present: No guests were present.
Chairman Nelson introduced Jim Terry, who recently joined the staff of the Department’s State Records Branch.
Chairman Nelson called for introductions of Commission members.
For the record, Chairman Nelson noted that Dr. William J. Morison, recently re-appointed to the Commission to represent regional colleges and universities, had been sworn in prior to calling the meeting to order.
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
Cabinet for Health Services - Department for Medicaid Services
Diana Moses was the records analyst working on this schedule change. The series being changed are 04005, Medical Review Files of Providers and Performance Review, from five years to ten; and 04008, Vendor Claim File, from five years to ten. The series being added to the schedule is 04640, Case Mix Appeal Records File.
The Department for Medicaid Services, located in the recently formed Cabinet for Health Services, was created pursuant to KRS 194.030 (7). It administers the Kentucky Medical Assistance Program under the legal authority of Title XIX of the Social Security Act and KRS 205.520, which provides coverage for preventive and remedial medical care not otherwise available to financially indigent and medically indigent persons, within the state’s funding limitations and eligibility requirements. A total of 28 health services are covered by Medicaid, including hospital inpatient care, physician services, pharmacy services and skilled nursing and intermediate care services.
There being no questions, Dr. Clark made a motion to adopt the changes to the schedule, seconded by Mr. Coates. The motion carried.
Department for Military Affairs - Military Records and Research Library
Moses was the records analyst working on this schedule change. The series being changed is 03810, Kentucky Vietnam Veteran Bonus File, from permanent to destroy five years after award, and audit.
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 who served in the armed forces of the United States, including the Kentucky National Guard, from 1792 to present.
Moses explained that the proposal before the Commission for the Department for Military Affairs was unusual in that approval was being asked, after the fact, for an action that had already taken place. According to Moses, severe damage to a portion of the Vietnam Veterans Bonus Files, which were stored in the Division’s adjunct facility, located on the grounds of the Ancient Age Distillery, resulted from the flood of 1997. Of the 362 cubic feet of records in storage, approximately 70 were destroyed in their entirety. This loss prompted staff in the Department for Military Affairs to reconsider the permanent retention of the series that had previously been approved by the Commission. Upon re-examination of the law which established the bonus, and other records present in the agency, it was determined that the files, which only contain the application for the bonus, did not need to be retained permanently. According to Military Affairs’ legal counsel, legislative intent is satisfied through the permanent retention of Form DD-214, the formal discharge document, and the Veterans Application Bonus System, an electronic file which contains the actual computations used in determining who should receive the bonus. Both the DD-214s and the electronic system reside in the Military Records and Research Library and are used when inquiries regarding the bonus are received. Based on the reevaluation of the series, it was jointly agreed that the remaining 292 cubic feet would be destroyed, as file integrity was severely impacted by the initial loss of 70 cubic feet of the records.
There being no further discussion, Dr. Clark made a motion to adopt this schedule
change, seconded by Dr. Morison. The motion carried.
Justice Cabinet - Department of State Police - Administrative Services Division - Carry Concealed Unit
Moses was the records analyst working on this schedule change. The series being added to the schedule is 04650, Carry Concealed Imaging System.
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. It is the duty of the commissioner and each officer to detect and prevent crime, apprehend criminals, maintain law and order, collect, classify and maintain information useful for the detection of crime and the identification, apprehension and conviction of criminals, and enforce the criminal as well as the motor vehicle and traffic laws of the Commonwealth. The KSP also is responsible for providing security of state facilities located in Frankfort, and highway and water safety enforcement.
The Administrative Services Division provides specialized and highly professional training and personnel to back up the front-line officers of the Kentucky State Police.
Moses explained that the imaging system contains the application to carry a concealed weapon, photograph of the applicant, and a copy of the training certificate that proves that the individual has successfully completed fire arms training. She also advised the Commission members that, during the Advisory Committee meeting, Mr. Coates recommended that the title include the word "weapons" to better describe its content.
After a brief discussion, Dr. Ellis made a motion to adopt this schedule change, with the addition of the word "weapons" in the title, seconded by Dr. Morison. The motion carried.
Cabinet for Workforce Development - Department for Technical Education - School Management Division
Moses was the records analyst working on this schedule change. The series being changed are 02767, Student Financial Aid Folders (Vocational School), from permanent to three years, and 02768, Student Financial Aid Folders (Central Office), from five years to three.
The Cabinet for Workforce Development was created by the General Assembly effective July 1, 1990. The Cabinet consolidated and reorganized state agencies and boards to centralize and coordinate job training and adult education agencies. Adult and vocational education programs were transferred to the Cabinet from the Department of Education. Also transferred to the Cabinet were the Department for the Blind, the Kentucky Occupational Information Coordinating Committee, the State Job Training Coordinating Council, the Governor’s Council on Vocational Education, and the State Board of Proprietary Education. In 1993, the Cabinet was reorganized to include the merger of the Office of Adult Education Services and the Kentucky Literacy Commission to form the Department for Adult Education and Literacy. Recently, the Department for Employment Services, previously in the Cabinet for Human Resources, also was transferred to the Cabinet.
The Department for Technical Education is responsible for the management, control and operation of nondegree programs in post-secondary and vocational-technical education.
The Department may exercise powers and functions relating to a Kentucky technical system of state vocational-technical schools, state-operated areas vocational centers, state technical institutes, and technology centers. The Department also may provide education training programs through contracts with private business and industry. It submits bulletins, outlines of courses, courses of study and its budget requests to the State Board for review and approval.
Moses explained that the two series are identical in content, with one being retained at the local vocational school level and the other at the Department level. Since the series is quite voluminous at the local level, reducing the retention from permanent to three years will be of enormous benefit.
Dr. Morison asked if these records were similar to the financial aid records scheduled under the State University Model Records Retention Schedule. According to Moses, there are similarities in the series for both the universities and the vocational schools. The difference is that university financial records are retained for a period of five years after graduation or last date of attendance, rather than three.
Dr. Clark made a motion to adopt this revised schedule, seconded by Mr. Board. The
motion carried.
Chairman Nelson advised the Commission members that Governor Paul Patton would be participating in the local records grant presentation, to be held July 8th, in the lobby of the Department.
Before turning the meeting over to Richard Belding for an update on his meeting with architects from the Finance and Administration Cabinet, Nelson informed the Commission members that construction of the State Records Services Center facility, which would be an addition to the Coffee Tree facility, was Cabinet Secretary Roy Peterson’s number one capital construction budget priority. Department staff are very appreciative of Secretary Peterson’s actions regarding construction of this much needed facility.
Belding said he had been reminded at a recent Society of American Archivist’s conference, that it was important to remember, when planning for a new building or major renovations to an existing structure, what the role of an archival administrator should be. That role is not to function as an architect, but to make clear to the architects, through a program description statement, what functions are needed in the new structure and what is needed in terms of space, to satisfy planned, and integrate, existing business functions. Belding said this prompted him to have several telephonic conversations with the Finance and Administration architects who had been involved in the construction of the Department’s current facility, as well as a recent meeting in which the details and requirements of the new structure were discussed.
Belding noted that this is the seventh consecutive capital budget request for the construction of a state-owned records center facility to replace the Department’s two leased structures. A new facility would operate more effectively in conjunction with the services and facilities offered at the Coffee Tree site. Over the period of the seven requests, several things have happened which alter substantially the requirements for the new structure, such as changes in technology, expanded service needs, etc. The concept has grown from one that was designed essentially to deal with records center needs to one that now must also deal with archival storage expansion. The new structure is a challenge to plan, said Belding, because the Department is in a period of a number of different transitions. Plans must be made to respond to those transitions, that is, to accommodate the legacies of the past while moving forward to meet the requirements of a technological age, in which information creation and management will be substantially different.
Belding said that there are several issues which set this capital planning cycle apart from previous ones, in which the need for a new structure was discussed. The capacity of the proposed facility has been significantly expanded, in an attempt to meet records storage needs over the next 25 years, which means that the building is significantly larger than two years ago and will cost substantially more to construct. There also is the issue of systems integration with the current structure, in the areas of heating and air conditioning, evacuation routes, and information systems management. According to Belding, the meeting with the architects was very informative and beneficial in that it clarified costs and sharpened discussion of the other issues involved in building a structure of the type proposed.
Dr. Ellis said that it is extremely important that the functions of the new building be well articulated to the architects and those responsible for its construction, to make sure there are no problems when the building is completed.
Belding then went on to update Commission members on the recent relocation of the adjunct State Records Center to its new location to a fourth floor warehouse, also on the grounds of the Ancient Age Distillery. Belding pointed out that the loss of the previous lease, and resultant move of more than 32,000 cubic feet of records and more than 60 tons of shelving, plus the substantial damage incurred during the flood of 1997, re-emphasized the overwhelming need for the construction of the new records center services facility. During the period of the move, services were severely disrupted to the 40 to 50 agencies which utilize the center for off-site storage. As the Department did not have the additional funds to support the move, fees charged to client agencies had to be increased.
On behalf of the Department, Belding extended special thanks to Tim McIntosh, supervisor of the State Records Center, and Bill Adams, who oversaw the successful relocation of the adjunct facility, which began mid-April and concluded mid-June, approximately two weeks ahead of schedule.
Mr. Coates asked if the budget for the proposed building, which has risen from $8.5 million to over $l5 million, due to its expanded size and increased building costs, included funds for technology. Belding said that those needs were projected in the overall costs.
There then followed a discussion about records management and the shared
responsibility, under statute, between the Department, the Commission, and the heads of
agencies. Nelson reiterated that Crit Luallen, Secretary of the Governor’s Cabinet,
had suggested in meetings earlier in the year that records management issues should be
included in the next round of Empower Kentucky initiatives.
After a short break, Chairman Nelson moved to the last item on the agenda, Local Records grant review. In Darrell Gabhart’s absence, Belding gave an overview of the grants to be considered. At the Local Records grant review meeting the previous week, the Committee recommended the awarding of grants in the amount of $244,993. The distribution of the grants was as follows: five to cities ($19,800); l7 to counties ($209,621); and one to a local school system ($15,572).
Belding said that the program continues to look for ways to expand the number of qualified personnel to microfilm local public records on-site in individual counties. The number of individuals seeking certification to film public records has declined in recent years, which is contributing to a backlog of filming projects across the state. Belding was hopeful that by the September meeting of the Commission, Gabhart would have some additional options to propose in this regard. Belding said that one option is looking at ways to amend the certification process to identify individuals who would be certified to only do filming and individuals who would be certified as laboratories, to do both filming and processing. Those who would be certified to do filming, under Gabhart’s plan, would have to use a certified laboratory for processing.
Attachments to the minutes include 1) Local Records Program Guidelines: A Report to the State Archives and Records Commission, June 10, 1997; 2) Local Records Grants Approved by the State Archives and Records Commission March 1997; 3) Grant Projects Recommended for Approval by the State Archives and Records Commission June 1997; 4) Distribution of Grants Approved by March 1997 Commission; 5) Distribution of Local Records Grant Funds (a statistical report); 6) Note of Explanation;
7) Summary of Grants Recommended Fiscal Year 1998; and 8) Summary of Grants Awarded 1985-1997.
Dr. Ellis made a motion to recommend to Commissioner Nelson the grants presented for consideration, seconded by Dr. Morison. The motion carried.
On a motion by Dr. Ellis and a second by Mr. Board, Chairman Nelson adjourned the meeting at 11:07 a.m.
Last updated: September 11, 1997