STATE ARCHIVES AND RECORDS COMMISSION
Minutes of the Quarterly Meeting
March 11, 1999
Department for Libraries and Archives
Revenue Cabinet – Department of Tax Administration
– Department of Information Technology
– Department of Property Valuation – Certification and
Property Valuation Administrator
Regional Mental Health/Mental Retardation Boards (Comprehensive Care Centers)
Judicial Branch – Court of Justice Post-1977 – Juvenile
Records
–
Office of the Secretary – Internal Investigations Unit
City of Louisville - Louisville Zoo
Public School District Model - Schools, Pre School - 12
State University Model – Miscellaneous Records
– Medical Facilities
The State Archives and Records Commission met March 11, 1999, in the Board Room, Kentucky Department for Libraries and Archives (KDLA).
Members present: Dr. Thomas D. Clark, representing the University of Kentucky; Paul F. Coates, representing Citizens-at-Large; Dr. William J. Morison, representing regional colleges and universities; Ed Hatchett, Auditor of Public Accounts; Dr. Linda E. Johnson, representing Citizens-at-Large; and Dr. Jack D. Ellis, representing Citizens-at-Large.
Representatives present: Lou DeLuca, representing Dr. Marlene M. Helm, Secretary, Education, Arts and Humanities Cabinet; Leslie Smith, representing Robert Sherman, Director, Legislative Research Commission; Victor Fox, representing A. B. Chandler, III, Attorney General; and Ron Jones, representing Stephen N. Dooley, Commissioner, Department of Information Systems.
Members not present or represented: Shelia E. Heflin, representing the Kentucky Library Association; Carolyn N. Murphy, representing local governments; Cheryl Jones, representing Citizens-at-Large; Crit Luallen, State Budget Director, Governor’s Office of Policy and Management; Judge Joseph E. Lambert, Chief Justice, Kentucky Supreme Court; and Dr. Melba Porter Hay, representing the Kentucky Historical Society.
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; Gerald Thompson, Regional Administrator; Lena Jones Turner, Regional Administrator; Jerry Carlton, Regional Administrator; Larry Barnett, AOC Regional Administrator; Jim Terry, Administrative Specialist; Teresa McChesney, Contract Specialist; and B. J. Webster, Administrative Secretary.
Guests present: Kathy Gilliland and John Meyer, Revenue Cabinet.
Chairman Nelson informed the Commission members of the appointment of Dr. Marlene M. Helm, as Secretary of the Education, Arts and Humanities Cabinet. Dr. Helm replaces Dr. Roy P. Peterson, who passed away in November 1998. Dr. Helm had occasion to work with staff from the Department, in her capacity in the Fayette County school system, and is aware of the work of the Commission.
For the record, Nelson called for introductions of Commission members.
Nelson advised the members of the certification of PermaDoc, a private microfilming company, located in Nicholasville, Kentucky. No representatives from the company were present to receive the certification.
Minutes of the previous Commission meeting were approved on a motion made by Dr. Ellis, seconded by Mr. Fox. The motion carried.
A resolution honoring Dr. Peterson was distributed to the Commission members for their consideration. Mr. Hatchett made a motion to adopt the resolution, seconded by Dr. Johnson. The motion carried. The resolution will be forwarded to Dr. Peterson's family.
A copy of the resolution is attached.
The order of the agenda was changed to accommodate the guests present.
NEW OR REVISED RECORDS RETENTION SCHEDULES
Revenue Cabinet – Department of Tax Administration
Diana Moses was the records analyst working on this revised schedule. The series being added to the schedule are: 04810 to 04811; 04818 to 04819; 04822 to 04828; 04831 to 04834; 04839; 04843; 04845; 04848; and 04861 to 04863, a total of 22 records. The series being changed are: 04812 to 04817; 04820 to 04821; 04829 to 04830; 04835 to 04838; 04840 to 04842; 04844; 04846 to 04847; 04858 to 04860 and 04864. The series being deleted are: 95 to 98; 105; 107 to 108; 111; 113 to 115; 117; 119 to 123; 129; 132 to 138; 140 to 146; 208 to 210; 121 to 213; 229 to 230; 232 to 239; 241; 243 to 248; 251; 252 to 255; 257 to 259; 261 to 266 and 268 to 268.1, a total of 64 records. The series being deleted are either covered by the General Schedule for State Agencies, no longer being created, or have been incorporated into existing series. Of the total number of series scheduled, fourteen are electronic systems.
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 Tax 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 for ad valorem taxes) and processing tax information. A commissioner heads the department and oversees the operations of three divisions: Collections, Field Operations, Compliance and Taxpayer Assistance, and Revenue Operations.
Moses said that this work completes the revision of the schedule for the Department of Tax Administration. The Miscellaneous Tax Branch section of the schedule was previously approved by the Commission in 1998. Moses directed the Commission members to page 8 of the schedule, where the new material appears. Moses pointed out the schedule includes the addition of fourteen electronic systems. According to Moses, the 64 deleted series are covered by the General Schedule for State Agencies, or are subsumed in another record. In some cases, the deleted series reflect records that are no longer being created, and whose retention requirements already have been met. Moses said it is not uncommon to have large numbers of deletions from schedules that pre-date the General Schedule for State Agencies. The Revenue Cabinet schedule was originally approved in 1979.
On a question by Dr. Clark, there followed comments by Mr. Meyer and Ms. Gilliland related to the volume of paper handled by the Cabinet. Moses said that many of the previous retention periods for tax returns and related records had been lowered to five and seven years, which is more in keeping with statutory requirements, and which has helped to alleviate storage problems.
Dr. Ellis made a motion to adopt this revised schedule, seconded by Dr. Morison. 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 04857, Record Request File; 04808, Application Activity System (Electronic); and 04809, On-Line Business Tax Refund 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.
After a brief explanation of the changes by Moses, Dr. Clark made a motion to adopt this schedule change, seconded by Dr. Morison. The motion carried.
Revenue Cabinet – Department of Property Valuation – Certification and Property Valuation Administrator
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04856, Kentucky Board of Tax Appeals Case File. The series being changed are: 03728, Report of Land Redemptions, from seven years to twelve; 03729, Sheriffs’ Collections and Correspondence File, from seven years to twelve; 03371, Tax Assessment and Appraisal Card File, from three years to five; 03369, Tangible Property Tax Return File, from seven years to twelve; and 03370, Intangible Property Tax Return File, from seven years to twelve. The series being deleted are 03377, Purchase File, and 03378, Monthly Financial Report. The deleted series are covered by the General Schedule for State Agencies.
The Department of Property Valuation (previously the Department of Property Taxation)
is responsible for the administration and supervision of 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.
Moses explained that most of the changes were being made as a result of changes in the law, which allow up to ten years for tax collection. One new record, Kentucky Board of Tax Appeals Case File, is being added to the section of the schedule for Property Valuation Administrators.
Dr. Morison made a motion to adopt this schedule change, seconded by Dr. Johnson. The motion carried.
Moses was the records analyst working on this schedule change. The series being changed are: 03718, Contagious Equine Metritis CF Test, from ten years to five; 03719, Contagious Equine Metritis Culture-Accession Sheet, from ten years to five; 03720, Contagious Equine Metritis Imported Horse File, from ten years to five; 03723, Equine Viral Arteritis Test Record File, from fifteen years to five; and 03724, Equine Viral Arteritis Vaccination Record File, from fifteen years to five.
The Department of Agriculture is under the direction of the elected Commissioner of Agriculture, Labor and Statistics, as provided in the Kentucky Constitution. Section 93 of the Constitution provides that law will establish the Commissioner’s duties in KRS Chapters 246, 247, 251, 252, 257, 258, 260 and 261. The basic purpose of the department is to serve farmers, agribusiness and consumers, which includes regulatory services. The department has regional offices in Paducah, Owensboro and Florence.
The Division of Animal Health keeps livestock certification records and prevents, controls and eradicates livestock diseases, such as brucellosis, tuberculosis, equine infectious anemia, contagious equine metritis, equine viral arteritis and pseudorabies.
There being no further discussion, Mr. Fox made a motion to adopt this schedule change, seconded by Dr. Ellis. The motion carried.
Regional Mental Health/Mental Retardation Boards (Comprehensive Care Centers)
Jerry Carlton was the regional administrator working on this schedule change. The series being changed is L4795 (previously series 42), Patient/Client Health Medical Record Folders, from permanent to five years.
The centers are funded through federal and state grants and outside contributions, and are governed by local boards. The centers mainly deal with clients who are mentally challenged or who are encountering drug and alcohol problems.
Moses presented the schedule change for Carlton. Moses informed the Advisory members that the Local Records staff would be working on creating a model retention schedule that would be applicable to all comprehensive care centers. Currently, only the Bluegrass Mental Health/Mental Retardation Board has been scheduled. The change being proposed is to reduce the retention of patient files from permanent to five years after last date of service, which is in keeping with other similar clinic-type records.
Moses gave a brief explanation of the status of comprehensive care centers as short-term referral agencies. If a patient needs extended care, the center would refer the individual to a more appropriate organization, such as a hospital or institution. The series is a voluminous one and does not have archival or historical value. The centers are placed under the Department for Mental Health/Mental Retardation, Cabinet for Health Services, for administrative purposes. Funding for the centers comes from state, federal and local sources. Most centers are administered locally by boards.
Dr. Ellis made a motion to adopt this schedule change, seconded by Dr. Johnson. The motion carried.
Dr. Morison said it was a step forward for the Commission to be considering the issue of medical records. Dr. Terry Birdwhistell made a similar comment, during the Advisory Committee meeting.
Moses was the records analyst working on this schedule change. The series being added to the schedule is 04849, Gubernatorial Slate Media Record File.
The Registry of Election Finance was created by statute in 1966, as an independent agency to administer the statutes pertaining to political campaign and election financing (KRS 121.110). In 1992, the General Assembly enacted the Public Financing Campaign Act and transferred the agency from the Public Protection and Regulation Cabinet to the Department of State (Office of the Secretary of State). The seven members of the Registry are appointed, subject to Senate confirmation, by the Governor, Auditor of Public Accounts, Attorney General, and Secretary of State, in a bipartisan or nonpartisan manner, for staggered four-year terms.
The duties of the Registry include: 1) developing forms for required campaign financial reports; 2) publishing a manual for candidates, slates of candidates and committees, describing campaign finance requirements; 3) preparing and publishing various reports pertaining to receipts and expenditures in campaigns; 4) reviewing financial reports submitted by candidates, slates of candidates and committees, for legal compliance; 5) registering committees with the Registry; 6) conducting random audits of receipts and expenditures of local and district campaigns; 7) auditing receipts and expenditures of campaigns for all statewide offices; 8) initiating investigations of possible infractions of campaign finance laws; and 9) referring violations of election laws to the Attorney General or local prosecutor for civil and criminal prosecution, while reserving the right to petition the court to enable the Registry’s attorney to prosecute if the Attorney General or local prosecutor does not proceed with the prosecution in a timely manner.
Moses explained that the requirement to report the cost of advertising related to support or non-support of a gubernatorial slate came as a result of a change in election laws, which was passed during the 1994 session of the General Assembly.
Dr. Clark made a motion to adopt this schedule change, seconded by Dr. Morison. The motion carried.
Judicial Branch – Court of Justice Post-1977 – Juvenile Records
Larry Barnett was the regional administrator working on this schedule change. The series being added to the schedule are: 04750, Paternity Case File; 04751, Juvenile Case Files-Felony Offenses; 04752, Juvenile Case Files-Non-Felony Offenses; 04802, Juvenile Mental Inquest Case Files (District Court); 04801, Self-Consent Abortions by a Minor (District Court); 04803, Self-Consent Abortions by a Minor (Circuit Court); and 04804, Juvenile Mental Inquest Case Files (Circuit Court). The series being changed is 00197, Juvenile Case Files, to a closed series.
The Circuit Courts were created by the General Assembly, replacing the (old) District Court 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 newly established District Courts replaced the lower courts (Police/City, Quarterly and Magistrates/Justice of the Peace). The District Courts were given jurisdiction over Small Claims cases up to $1000, Civil cases up to $2500, Criminal cases with up to twelve months in jail or a maximum of up to $10,000 for felony cases, and Juvenile and Probate cases.
Barnett explained that the changes were to separate the series related to juveniles, to aid in their management. Many of the changes were brought about due to changes in the law.
Dr. Clark asked about the restrictions on access to juvenile records. Barnett said that in most cases, a court order was still required to open a record. The respective juvenile or his legal counsel can have full access to the case file at any time.
Dr. Ellis made a motion to adopt this schedule change, seconded by Dr. Morison. The motion carried.
Justice Cabinet – Office of the Secretary – Internal Investigations Unit
Moses was the records analyst working on this schedule change. The series being added to the schedule is 04850, Investigative Report File.
The Department of Justice was created by Executive Order 73-805, issued on September 11, 1973, when the Department of Public Safety and the Department of Corrections, the Crime Commission, certain functions of the Kentucky Law Enforcement Council, and the Office of the Public Defender were merged. The department included the Bureau of Training, Bureau of State Police and Bureau of Corrections. In 1982, the Department of Justice became the Justice Cabinet and the Bureau of Corrections became the Corrections Cabinet. In 1992, the Corrections Cabinet was abolished and the Department of Corrections was created, within the Justice Cabinet. The Cabinet is headed by a Secretary and consists of the Department of Criminal Justice Training, the Department of Juvenile Justice (created in 1996), the Department of Kentucky State Police and the Department of Corrections.
The Office of the Secretary includes the Secretary, Deputy Secretary and General Counsel personnel for the Cabinet. The Office is responsible for the overall administration of the Cabinet; provision of legal services; development of legislation, regulation and policy; and coordination of activities within the Cabinet and among Cabinet departments and agencies.
Mr. Coates made a motion to adopt this schedule change, seconded by Dr. Ellis. The motion carried.
City of Louisville - Louisville Zoo
Dr. Levstik was the regional administrator working on this schedule change. The series being added to the schedule are L4796, Work Orders - Zoo, L4797, Crisis Plan/Emergency Procedures, and L4798, Equipment Preventive Maintenance Files.
After a brief explanation by Levstik, Mr. Hatchett made a motion to adopt the schedule change, seconded by Dr. Ellis. The motion carried.
Moses was the records analyst working on this schedule change. The series being added to the schedule are 04806, Investigative File, and 04807, Probation/Supervision File. The series being changed is 03966, Disciplinary Action File (previously Final Action File), from permanent to thirty years. The series being deleted are 01541, Complaint Hearing File, contained in series 03966, and 03965, Investigator’s Case File, also contained in series 03966.
The Board of Medical Licensure is responsible for the licensing of Physicians, Osteopaths, Paramedics, Athletic Trainers and Physician Assistants. The purpose of licensure boards is to license and regulate the statutorily designated occupations and professions, in order to protect the public health, safety and welfare. To accomplish this, boards have two primary areas of responsibility: licensure and enforcement. The licensure function deals with entry into the profession. In broad terms, the boards determine an individual’s initial fitness and competency to practice an occupation or profession. Boards process applications for licensure, check qualifications against statutory requirements, administer licensing examinations and issue and renew licenses.
The enforcement function involves tasks designed to assure that licensees continue to practice competently after initial licensure. Specifically, boards administer continuing education requirements, process complaints against licensed practitioners, conduct investigations, hold hearings and take disciplinary actions against incompetent or fraudulent practitioners. Disciplinary sanctions range from reprimands to license revocations. In performing certain enforcement functions, board members function in a quasi-judicial capacity.
Moses said that the minutes and orders of the Board reflect final action when disciplinary charges are brought against a physician. Both records are retained permanently.
Mr. Fox made a motion to adopt this schedule change, seconded by Dr. Johnson. The motion carried.
Public School District Model - Schools, Pre School - 12
Dr. Frank Levstik was the regional administrator working on this schedule change. The series being changed are L3022, Writing Portfolio, L3025, Mathematics Portfolio, L3026, Mathematics Portfolio - Eighth Grade, and Mathematics Portfolio - Twelfth Grade. All of the series have a change in disposition, to provide for copies of the portfolios to be given to students, upon graduation. According to Levstik, the original writing portfolios must be kept for two three-year accountability cycles.
Copies of the writing portfolios, according to Levstik, can be provided to students, upon request, at the time of graduation. There is no charge for the copies. The Department of Education has not provided any guidelines, particularly financial guidelines, as to how schools will meet the requirement, so it will be discretionary on the part of the local school district. As there are 176 school districts, Levstik said there could be 176 ways of carrying out the procedure.
The changes are a result of discussions held during the December 1998 meeting of the Commission regarding a return of the portfolios to students. There was a good deal of interest by Ms. Heflin, at the December meeting, in seeing that writing portfolios were returned, if the student or his family so desired, rather than being destroyed. Levstik said that staff worked with the Department of Education and several school districts to determine final disposition of the portfolios.
Levstik then explained that the mathematics portfolios were abolished, as of the end of the 1998 school year, for assessment purposes. However, copies of the portfolios can be given to the students, if requested.
Dr. Clark asked where the portfolios were maintained. Levstik said they are retained by the local school districts. In Jefferson County alone, there is the potential for 100,000 individual portfolios, so the series are quite voluminous. No paperwork impact statement was completed prior to the enactment of legislation requiring the portfolios, according to Levstik. Belding said that the portfolio requirement is an example of legislation that is passed, without any regard to the record keeping impact it can have.
Dr. Johnson asked if the legislation provided for the return of portfolios to students. Levstik said that it did not. The return of the portfolios is based on a recommendation of the Department of Education, which has been in place for some time. Johnson asked if funding was made a part of the recommendation. Levstik said that the respective school has to use its own resources to carry out the requirement, and may not be forthcoming because of a lack of funds. As an example, Jefferson County schools have 100,000 students, each of whom may want copies of their portfolios. The financial impact to a school could be quite substantial, if additional funds are not provided.
Mr. Hatchett made a motion to adopt this schedule change, seconded by Dr. Ellis. The motion carried.
Moses was the records analyst working on this schedule change. The series being added to the schedule are: 04851, Daily Log Sheet File; 04852, Daily Veterinary Inspection File; 04853, Horse Injury Report File; 04854, Veterinary List File; and 04855, Veterinary Report of Horses Treated. The series being changed are 00984, Chemist Report-Negative, change in disposition, and 00968, Chemist Report-Positive, title refinement. The series being deleted are: 00739, Motion Pictures; 00969, National Association of State Racing Commission Reports; 00972, Commission Scrapbooks; and 00974, Minutes of Kentucky Thoroughbred Development Fund Meeting. The deleted series are covered by the General Schedule for State Agencies.
The Cabinet for Public Protection and Regulation (originally named the Consumer Protection and Regulation Cabinet) was created as part of the comprehensive reorganization of state government in 1973-74. It is responsible for the supervision and regulation of various industries that perform services for citizens of the Commonwealth. In carrying out that function, it is charged with the enforcement of applicable statutes and administrative regulations. The charge of the Cabinet is twofold: to preserve the integrity of industries operating in Kentucky, and to protect the citizens of the state from the effects of improper activity by those industries.
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 an explanation of the changes by Moses, Dr. Clark made a motion to adopt this schedule change, seconded by Mr. Morison. The motion carried.
State University Model – Miscellaneous Records
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is U0121, Interlibrary Loan Request 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 (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.
Moses informed the Advisory members that the inclusion of this series was at the request of Western Kentucky University.
Dr. Johnson made a motion to adopt this schedule change, seconded by Mr. Hatchett. The motion carried.
State University Model – Medical Facilities
Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is U1700, Patient File (Psychiatric Records).
Moses said that the scheduling of the series was at the request of the University of Louisville. The series represents a duplicate record of emergency psychiatric services. The official record is maintained by the University of Louisville medical facility.
Mr. Coates made a motion to adopt this schedule change, seconded by Dr. Ellis. The motion carried
The first item discussed was the status of the administrative regulation the Local Records staff have been working on with the county clerks. The regulation establishes standards and procedures for: 1) recording, managing, and preserving public records; and 2) reproduction of public records by photographic or microphotographic process. Specifically, the regulation relates to land records, such as deeds, mortgages and assignments. Records that are exempted include, titling statements, wills and other "filed documents", as defined by the regulation. According to Nelson, the regulation passed but when it was determined that the date for compliance was too close to the implementation date, an emergency regulation was filed to change the effective date and to make other needed alterations. Since then, there has been considerable interest and opposition to the regulation, particularly from the banking community. Local Records staff continue to work with county clerks to resolve any outstanding issues. Nelson said that the public hearing on the regulation held at the Department's Coffee Tree location was heavily attended.
Dr. Ellis asked if the regulation dealt with the size of documents presented for recording. Nelson said that it deals with the size of the document, size of the print, margins, color, etc. The need for the standards is directly related to the problems county clerks have encountered when documents are presented for recording. The need for standardization is a nationwide problem, not just a Kentucky one. It is of particular interest to have standards, when reformatting of documents occurs; that is, going from paper to microfilm or an imaged record. The small print on current legal-sized documents makes it very difficult to get an accurate and legible record, when reformatting occurs.
Belding said that the Department moved forward with the promulgation of the regulation at the express request of the county clerks. It was not an initiative that the Department went forward with independent of input from and encouragement by the clerks, as has been thought by many in the public community. Belding reiterated that this is a national issue that comparable officials and local jurisdictions are having to deal with. Kentucky is not the first state to move in the direction of establishing standards; approximately ten to twelve states have already adopted very progressive legislation to deal with this issue.
A national industry group has developed a White Paper which details where each of the states are, in the process of moving toward what seems to be an inevitable need to address the issue of standards.
Gabhart said that other states that do not have the strong statutory base that Kentucky has have had to make changes in the law, whereas Kentucky can promulgate standards by administrative regulation. There followed discussion about the basis for the opposition from the legal and banking communities. Gabhart said there is a law, which was enacted many years ago, that provides for the filing of standard mortgage clauses (a so called "master mortgage") with the County Clerk, under the name of the mortgage company, which allows subsequent filings to be done by reference to the boilerplate language. The standard middle matter of the mortgage would not have to be filed each time. This allows for two to three pages to be filed, rather than the average of sixteen to twenty. Gabhart said that the number of mortgages filed each year has been on the increase, creating a storage and space problem for the offices. The Clerks are more interested in having fewer pages filed rather than more.
Coates said that the Advisory Committee members wanted to pass on to the Commission members that they would like for the Commission to strongly support the work of Department staff in the promulgation of the standards and to affirm that the Department is proceeding in the right direction in regard to this issue. Coates made a motion that the Commission support the Department's efforts to move forward with the regulation establishing standard formats for documents presented for filing in county clerks' offices, seconded by Dr. Ellis. The motion carried.
Nelson said that the legislative Banking and Insurance Committee has since passed a resolution asking that the Department withdraw the regulation. Staff will be meeting with personnel in the Patton administration and with the Clerks to decide what response the Department should give in regard to the resolution. Nelson said the Department would not withdraw the regulation, unless asked to by the Clerks and the administration. On a question by Dr. Clark, Gabhart said that the regulation dealt primarily with land purchases, not chattels.
The next item of business was an update on the status of the heating, ventilation and air conditioning retrofit, which will occur at the Coffee Tree location later in the year. Initially, it was thought that the retrofit would begin in the spring but, according to Belding, is not likely to occur until after July. The retrofit will address the issue of uniform distribution of heat, in particular, to areas of the facility, which have been under served. The addition of heating units along the baseboards on all three floors will help to address that need. Of particular interest to the Department are the records storage areas of the facility and the impact of the retrofit. The records currently stored on the external wall-mounted shelving in the Archives Center, located on three walls of the building's third floor, will have to be relocated and the shelving disassembled and moved off site. As a preliminary to the retrofit, staff has already begun the transfer of records from the State Archives to the State Records Center. The records that are being relocated are more appropriate for storage in the Records Center, as they represent human resources case files, which are currently scheduled as permanent to reflect agencies' perceived administrative needs, but which are not open for public research. The more than 6,500 cubic feet that will be relocated to the Records Center will not return to the Archives Center. To date, staff of the Archives Center and the Records Center has moved approximately 3,750 cubic feet of that total.
Belding also informed the Commission members that the Archives is at capacity, and that there has never been an area in the facility to store supplies. Areas in the Archives Center that should be used for the storage of records have, of necessity, had to be used for storage of supplies. Also, the ninth or top level of the shelving units has been used for records storage, which has exacerbated climate control problems. The way in which space is utilized in the Archives Center will have to be reexamined, in order to optimize the performance of the existing HVAC system. According to Belding, the records stored on the ninth shelves will have to relocated and new areas found to house supplies. It is intended that most of the supplies will be stored in the adjunct records center facility, located on the grounds of the Ancient Age Distillery. As many of the supplies are sensitive to dust, care will have to be taken in their packaging for storage. Such supplies will have to be unwrapped and cleaned before coming into the Archives facility.
According to Belding, the Archives Center maintains approximately 95,000 cubic feet of records. Currently the Records Center has 110,500 cubic feet of records, which is an increase over the past ten years of 57,800 cubic feet. The State Records Center serves all fifteen cabinets, fifty-six state agency units, and twenty-three judicial offices. This clearly is evidence of the sustained demand for records center storage services, and indicative of the need to solve the Department's records storage problem.
There followed discussion about the Department's plans to propose an addition to its Coffee Tree facility, and its partnerships with the Department of Military Affairs and the Secretary of State's Office. Nelson said that with the appointment of Dr. Helm as Secretary of the Cabinet, plans could again move forward.
The last item on the agenda was the consideration of Local Records grants. Gabhart said that, normally, the majority of the grants to be awarded would be presented to the Commission in March; however, due to the enormous amount of scheduling work Local Records staff undertook for the December meeting, the larger volume of grants will be presented for consideration in June. Gabhart informed the Commission members that grants to fund microfilming projects were still being held to a minimum, due to the current workloads of vendors. An additional vendor is expected to meet certification requirements in the near term, which should help to alleviate the filming backlog.
Dr. Ellis asked about the grants that are awarded for a combination of services. Gabhart explained that most of the funds in such a grant would go to preserving and making accessible public records; however, there may also be a need for equipment, salary supplementation to carry out indexing activities and other items that necessitates the use of a combination of vendors, under one project.
Coates raised the issue of awarding grants to school systems. Gabhart said that in many cases, school districts are willing to financially support the filming of records, negating the need to award as many grants for the preservation of school records. According to Gabhart, there is such a volume of school records, that there isn't enough grant money to fund such projects. Of necessity, school districts are encouraged to finance reformatting activities as a normal part of doing business. There followed discussion about how to encourage other county officials to fund reformatting projects.
Mr. Fox made a motion to recommend to Commissioner Nelson, as a group, the grants
presented for consideration, seconded by Dr. Johnson. The motion carried.
Nelson adjourned the meeting at 12:00 p.m.
Last revised June 14, 1999
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