The State Archives and Records Commission met June 11, 1998, 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; Melba Porter Hay, representing the Kentucky Historical Society; Ed Hatchett, Auditor of Public Accounts; Dr. William J. Morison, representing regional colleges and universities; and Dr. Linda E. Johnson, representing Citizens-at-Large.
Representatives present: Leslie Smith, representing Don Cetrulo, Director, Legislative Research Commission; Victor Fox, representing A. B. Chandler, III, Attorney General; and Riggs Williams, representing Stephen N. Dooley, Commissioner, Department of Information Systems.
Members not present or represented: Dr. Roy P. Peterson, Secretary, Education, Arts and Humanities Cabinet; Dr. Jack D. Ellis, representing Citizens-at-Large; Carolyn N. Murphy, representing local governments; Cheryl Jones, representing Citizens-at-Large; Dr. James Ramsey, State Budget Director, Governor’s Office of Policy and Management; and Robert F. Stephens, Chief Justice, Kentucky Supreme Court. The position representing the Kentucky Library Association is vacant, due to the resignation of Cynthia Etkin.
Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Darrell Gabhart, Manager, Local Records Branch; Dr. Frank Levstik, Regional Administrator; Lena Jones Turner, Regional Administrator; Jerry Carlton, Regional Administrator; Gerald Thompson, Regional Administrator; Jim Terry, Records Analyst; Teresa McChesney, Contract Specialist; and B. J. Webster, Administrative Secretary.
Guests present: Kathy Gilliland and Mike Harrod, Revenue Cabinet; and Donna Dixon, Office of the Auditor of Public Accounts.
For the record, Nelson called for introductions of Commission members.
Mr. Hatchett, Auditor of Public Accounts, introduced Ms. Dana Hodges, his counterpart in the Kentucky Bluegrass Girl’s State, which is a program of the Kentucky American Legion Auxiliary. Mr. Hatchett asked Ms. Hodges to accompany him to the meeting to observe the work of the Commission.
Minutes of the previous Commission meeting were approved on a motion made by Mr. Hatchett, seconded by Mr. Fox. The motion carried.
The order of the agenda was changed to accommodate the guests present.
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Diana Moses was the records analyst working on this revised schedule. The series being added to the schedule are: 04755 to 04761; 04766 to 04767; 04669; 04770 to 04771; and 04778. The series being changed are: 04762 to 04765; 04772 to 04777; and 04779. The series being deleted are: 174; 176 to 176.4; 177 to 178; 181; 184 to 186; 188 to 189; 190; 192 to 193; 195; 198 to 200; and 252.
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 the Secretary and the Departments of Tax Administration, Property Valuation, Information Technology, and Law.
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. Executive
Order 97-715, issued on June 11, 1997, renamed the agency the Department of Tax Administration. The Department consolidated into one major operating unit all the functional responsibilities related to enforcing Kentucky’s tax laws (except ad valorem taxes) and processing tax information. The Department is headed by a commissioner, who oversees the operations of three divisions: Collections, Field Operations, Compliance and Taxpayer Assistance, and Revenue Operations.
The Miscellaneous Tax Branch is comprised of the following sections: Miscellaneous Tax; Motor Vehicle Usage; Inheritance Tax; Motor Fuels Tax; Coal Severance; and Health Care Provider Tax.
Moses explained that the Commission had previously approved schedules for the Inheritance Tax section; the Motor Fuels Tax section; the Coal Severance Tax section; and the Health Care Provider Tax section. The schedule under consideration brings together the schedules previously approved with the balance of the Miscellaneous Tax Branch (Motor Vehicle Usage and Miscellaneous Tax), so that all sections will have a review date of June 1998.
Moses informed the Commission members that the Miscellaneous Tax Branch is responsible for the collection of more than thirty individual taxes, making this one of the larger branches within the Cabinet. Moses also explained that the schedule includes the branch’s five electronic systems.
Dr. Clark asked what constituted a revised schedule. Moses explained that the agency reviews its existing schedule and recommends additions or deletions of series, depending on current recordkeeping practices. Also, series previously approved are reviewed to determine whether adjustments in retention periods need to be made.
Chairman Nelson mentioned the Kentucky Empower initiative currently underway to integrate most of the Revenue Cabinet’s electronic systems into one system.
Dr. Johnson asked about the branch’s plans to microfilm records currently maintained in hard copy form. Moses explained that storage of many of the records in the State Records Center would be the appropriate solution, given their short retention periods and low retrieval rates, as opposed to microfilming individual series.
After a few brief remarks by Ms. Gilliland and Mr. Harrod, Dr. Johnson made a motion to adopt this revised schedule, seconded by Dr. Clark. The motion carried
Revenue Cabinet – Department of Information Technology
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule are 04768, Miscellaneous Tax System (Electronic), and 04780, On Line Journal Voucher System (Electronic).
The Department of Information Technology was created by Executive Order 97-715, issued on June 11, 1997. The Department deals with issues of physical property, budget, human resources, training, and tax return processing, as well as various facets of information availability, processing, management and other technology issues.
Moses explained that the Department was responsible for overall maintenance of many of the Cabinet’s electronic systems, including the Miscellaneous Tax System, which is the main system utilized by the Miscellaneous Tax Branch. The second system being proposed for inclusion in the schedule is the On Line Journal Voucher System.
Dr. Clark asked if there wasn’t an urgent need to revise the state’s tax codes, given the number of records maintained by the Revenue Cabinet. Mr. Harrod said there was much discussion, particularly on the federal level, about the need to revise tax codes and that usually such issues filter down to individual states. According to Harrod, there have always been movements of one sort or another to consolidate and improve tax collection.
Dr. Morison made a motion to adopt this schedule change, seconded by Dr. Clark. The motion carried.
Department of Education – Management
Support Services – District Support Services
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04781, Attendance Audit of Local School District File.
The structure of the Department of Education was significantly affected in 1990 with enactment of HB 814 and HB 940. The Workforce Development Cabinet was created in HB 814, which required the Department to transfer to the new cabinet the State Board of Adult, Vocational Education and Vocational Rehabilitation; the Adult Vocational Education program; the Office of Vocational Rehabilitation; and the Adult Basic Education program. HB 940, the Kentucky Education Reform Act of 1990 (KERA), was enacted in response to a 1989 Kentucky Supreme Court decision that held Kentucky’s system of common schools to be unconstitutional. KERA provided that positions in the Department of Education were to be abolished, that all employees were to be terminated at the close of business June 30, 1991, and directed the new commissioner of Education to reorganize the Department with new positions, as of July 1991.
On June 28, 1991, the Commissioner issued Executive Order 91-DOE-01, which reorganized the Department of Education. The Kentucky Board of Education hires the Commissioner of the Department of Education, who serves as the chief state school officer. The organizational structure includes a chief of staff, who is one of four deputy commissioners. The remaining deputy commissioners head the Bureau of Management Support Services, Bureau of Learning Results, and the Bureau of Learning Support. In addition to the Office of the Commissioner, there is the Office of Legal Services and the Office of Communications, Planning and Government Relations.
Moses explained that audits of attendance and related records were conducted by the Department to ensure compliance with the 1,050-hour instructional requirement. The funds received by local school districts are directly related to pupil attendance. The audits determine the amount of funding school districts should receive. Each school district is audited every four years.
There being no further discussion, Mr. Coates made a motion to adopt this schedule change, seconded by Mr. Hatchett. The motion carried.
State University Model – Fiscal Records
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is U0238, Budget Workpapers.
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, and partial schedules for other campuses. The State University Model schedule was initially approved in March 1994, and additional records series have been periodically added to it since that time.
The Fiscal Records component of the Model provides retention and disposition instructions for records associated with financial responsibilities of the various university campuses.
Moses informed the Commission members that the inclusion of this series, which could be in either manual or electronic format, was at the request of Western Kentucky University.
Mr. Fox made a motion to adopt this schedule change, seconded by Dr. Johnson. The motion carried.
State University Model – Student/Course Records
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule are: U0469, Student Learning Contract File (Internship Agreements); U0470, Course Proposal File – Approved; U0471, Course Proposal File – Not Approved; U0472, Applications for Scholarships File – Accepted; and U0473, Applications for Scholarships File – Declined.
The Student/Course component of the Model provides retention and disposition instructions for records associated with class instruction and student records.
Moses said that the scheduling of U0469 was at the request of the University of Kentucky. The series represents contracts related to student internship agreements. The balance of the series being scheduled (U0470 to U0473) were at the request of Western Kentucky University.
Dr. Morison asked about the status of the advisory committee on university records, which was established as an advisory group to the Commission to review the first full components of the State University Model, prior to their approval in March 1994. Moses said that the group was still in existence but that the need to call it into session had not been necessary, as no additional components have been developed since the initial ones in 1994. The changes that have been proposed to the Model since that time have been few in number and have been very general, housekeeping-type records, and have not necessitated a full review by the university records advisory group. Moses said that the group would reconvene when future components of the Model were developed.
Nelson said that at some point the Commission would be dealing with the new post-secondary educational system in Kentucky and all the revisions that will result from the new system. Mr. Coates asked Nelson to clarify what was meant by the new system. Nelson said that the changes to post-secondary education would result from the Post-Secondary Improvement Act, House Bill 1, which basically restructures the higher education system in Kentucky. Moses said that the law also changed the name of the Council on Higher Education to the Council on Post-Secondary Education. Under the new system, Kentucky’s technical schools and community colleges are brought together under one agency, the Kentucky Community and Technical College System. Moses said contact has been made with representatives of the agency, preliminary to development of a new retention schedule. Some records will be transferred to the new agency from the Workforce Development Cabinet and the University of Kentucky. According to Nelson the technical schools will have a common information technology and library system, which is currently being designed. There also will be a virtual university system and a virtual library system, as part of the changes.
Nelson explained that the virtual university allows students to enroll and take courses from a variety of locations, using computers or interactive media, without having to actually be in a classroom setting. Although it is more expensive than the traditional classroom method, students won’t have to physically be on a campus to participate. Students enrolled on a college campus would also have the option of taking additional courses from other universities, possibly in other states. The complications will be how records are managed, which universities get credit for enrollments, etc. The regional system would not exist in a virtual environment. According to Nelson, the regional colleges and universities have been given the primary responsibility for development of the virtual system. The first program to be offered under the new system is a master’s degree in Business Administration (MBA). Dr. Johnson said that Western Kentucky University has been participating in the statewide MBA Program, which means that students enrolled in any of the MBA programs in the state can take courses in any of the other MBA programs in Kentucky, and that many of the courses are delivered through interactive television. Johnson said that Western had been participating in the program for about a year, but that it was too early to tell about its success.
Dr. Morison made a motion to adopt this schedule change, seconded by Mr. Hatchett. The motion carried.
Nelson then turned the meeting over to Mr. Belding for an update on the recently concluded legislative session. Belding said that each year staff in the division has tried to monitor legislation introduced during regular sessions of the General Assembly to determine what impacts it has from an archives and records management standpoint. As automation has increased, staff have been increasingly more effective in their monitoring activities. Belding expressed his appreciation to Emma Hignite, in the division’s Technology Analysis and Support Branch, who developed Access applications to monitor legislative activities, interrelated with the Legislative Research Commission’s on line Statute and Bill database.
According to Belding, there were approximately 400 to 450 bills in the database to be monitored. During the process, those bills that had not cleared both Houses by a specified deadline or signed into law were eliminated from further review. Belding then distributed two documents, Legislative Tracking – 1998 Session 1 and Subject Index to Legislative Tracking Document. The first document represents a comprehensive review of each bill in bill number order, including title, description, category of interest and required action. Required action addresses what should result from the bill’s enactment; for example, creation of a retention schedule, revision of an existing schedule, creation of new electronic systems, transfer of a publication or special report to the Department, or any other action related to archival or records management issues. The second document allows staff to search for a bill by subject area.
Belding mentioned several bills of particular interest to the Department, such as HB 789, which provided for the creation or formalization of the position of Chief Information Officer and describes the prerogatives of the office, and HB 332, which provided for the contracting out of government services by public agencies. According to Belding, one of the largest categories of bills reviewed (more than 80) dealt with organizational change, which can include anything from agency name changes, substantial revision of agency mandates, to mass re-organization, and which can have an impact on the validity and applicability of retention schedules. Belding explained that the tracking documents would provide valuable, comprehensive information to department staff involved in archival and records management issues.
Belding finished by saying that no legislative session passes without laws being enacted that have some archival or records management impact.
Fifteen grant applications totaling $162,418.00 were submitted to the Commission for its consideration. Of that number, eight were for counties, for a total of $139,689.00; and six were for cities, for a total of $22,729.
Mr. Coates made a motion to recommend to Commissioner Nelson, as a group, the grants presented for consideration, seconded by Mr. Fox. The motion carried.
The number of grant applications approved for fiscal year 1998-1999 total forty-five, at a cost of $558,161.00. Of that number, twenty-eight were for counties, at a cost of $472,286.00; sixteen were for cities, at a cost of $76,251.00; and one was for a school district, at a cost of $9,624.00.
Chairman Nelson adjourned the meeting at 10:50 a.m.
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