Department
for Mental Health/Mental Retardation
The State Archives and Records Commission met September 14, 2000, inthe Board Room, Kentucky Department for Libraries and Archives (KDLA).
Members present: Aldona K. Valicenti, Chief Information Officer, Governor's Office for Technology; Paul F. Coates, representing Citizens-at-Large;Dr. Linda E. Johnson, representing Citizens-at-Large; Dr. Jack D. Ellis,representing Citizens-at-Large; Dr. William J. Morison, representing regionalcolleges and universities; Lynne Hollingsworth, representing the KentuckyHistorical Society; and Ed Hatchett, Auditor of Public Accounts.
Representatives present: Louis DeLuca, Deputy Secretary, representingDr. Marlene M. Helm, Secretary, Education, Arts and Humanities Cabinet;Leslie Smith, representing Robert Sherman, Director, Legislative ResearchCommission; Amye Bensenhaver, representing A. B. Chandler, III, AttorneyGeneral; and Jeff Pinkerton, representing Dr. James R. Ramsey, State BudgetDirector, Governor's Office of Policy and Management.
Members not present or represented: Dr. Thomas D. Clark, representingthe University of Kentucky; Carolyn Nichols, representing local governments;Cheryl Jones, representing Citizens-at-Large; Shelia E. Heflin, representingthe Kentucky Library Association; and Judge Joseph E. Lambert, Chief Justice, Kentucky Supreme Court.
Public Records Division staff present: Richard N. Belding, Director,Public Records Division; Diana Moses, Manager, State Records Branch; JerryCarlton, Manager, Local Records Branch; Jim Terry, Administrative Specialist;Michele Staton, Administrative Specialist; and B. J. Webster, AdministrativeSecretary.
Guests present: Shirley Rodgers, Governor's Office for Technology
Richard N. Belding chaired the meeting, in the absence of James A. Nelson. Belding informed the Commission members that Chairman Nelson is servingas a member of the
Strategic Planning Process Leadership Team, in the second phase of Governor Patton's Empower initiatives. The team will be meeting every Thursday morning for the next ten to twelve weeks, to develop plans for performance measurement and strategic planning across state government.
Prior to the meeting, Aldona K. Valicenti, Chief Information Officer,and Amye Bensenhaver, representing the Attorney General were sworn in.
For the record, Belding called for introductions of Commission members.
Dr. Morison made a motion to accept the minutes of the previous Commission
meeting, seconded by Mr. Hatchett. The motion carried.
NEW OR REVISED RECORDS RETENTION SCHEDULES
Department of Education - Division of Program Resources
Diana Moses was the records analyst working on this schedule change.The series being added to the schedule is 04993, Migrant Education Certificate of Eligibility.
The structure of the Department of Education was significantly affected in 1990 with enactment of HB 814 and HB 940. The Workforce DevelopmentCabinet was created in HB 814, which required the Department to transferto the new cabinet the State Board of Adult, Vocational Education and VocationalRehabilitation; Adult Vocational Education; the Office of Vocational Education;and Adult Basic Education programs. HB 940, the Kentucky Education ReformAct of 1990 (KERA), was enacted in response to a 1989 Kentucky SupremeCourt decision that held Kentucky's system of common schools to be unconstitutional.KERA provided that positions in the Department of Education were to beabolished, that all employees were to be terminated at the close of businessJune 30, 1991, and directed the new commissioner of Education to reorganizethe Department with new positions, as of July 1, 1991.
On June 28, 1991, the Commissioner issued Executive Order 91-DOE-01,which reorganized the Department of Education. The Kentucky Board of Educationhires the Commissioner of the Department of Education, who serves as thechief state school officer. In addition to the Office of the Commissioner,there is the Office of Legal Services and the Office of Communications.
The Department was reorganized again December 16, 1998, pursuant toExecutive Order 98-1671. The Kentucky Board of Education hires the Commissionerof the Department of Education. The organizational structure includes twodeputy commissioners who head the Bureau of Management Support Servicesand the Bureau of Learning Support Services. The Bureau of Management SupportServices includes the Office of Human Resources and Equity; the Officeof District Support Services; the Office of Education Technology; and theOffice of Budget and Financial Management. The Bureau of Learning SupportServices includes the Office of Special Instructional Services; the Officeof Leadership and School Improvement; the Office of Supportive LearningEnvironments; the Office of Assessment and Accountability; and the Officeof Academic and Professional Development.
Moses explained that the series documents the enrollment of migrantchildren in Kentucky schools and that it is used to determine the amountof funds a school district will receive each fiscal year for the provisionof educational services, from the U. S. Department of Education. Accordingto Moses, the program is active in 114 of Kentucky's 120 counties.
Dr. Ellis made a motion to adopt this schedule change, seconded by Ms.
Hollingsworth. The motion carried.
Department of Insurance - Division of Property and Casualty
Moses was the records analyst working on this schedule change. The series being added to the schedule is 04995, Surplus Lines Miscellaneous Correspondence.
The Bureau of Insurance was established in the Office of the Auditorof Public Accounts in 1870. The Auditor appointed the Insurance Commissioner. The Department of Insurance became a separate administrative departmentof state government in 1934 and the Governor appointed the Commissioner.In 1936, the Department became a division of the Department of BusinessRegulation. It became a department again when the Division of Insurancewas removed from the Department of Business Regulation, in 1950.
KRS 304.2-010 establishes the Department of Insurance, and the powersof the Commissioner are set forth in KRS 304.2-100. The duties of the Department include:
Moses explained that Surplus Lines Miscellaneous Correspondence wasbeing added to the schedule with a five-year retention. Because the Departmenthas a statutory requirement to maintain all of its records a minimum offive years, the General Schedule for State Agencies, which would normallybe used to manage such correspondence, does not apply.
Dr. Morison made a motion to adopt this schedule change, seconded byDr.
Johnson. The motion carried.
Department for Mental Health/Mental Retardation - Division of Substance Abuse
Moses was the records analyst working on this schedule change. The series being added to the schedule is Driving Under the Influence Referral Form.
The Department for Mental Health and Mental Retardation Services isheaded by a Commissioner who is appointed by the Secretary, with approvalof the Governor. The Department develops and administers programs for theprevention of mental illness, mental retardation and chemical dependence.It also develops and administers an array of services and support for thetreatment, habilitation and rehabilitation of persons who have a mentalillness or emotional disability, who have mental retardation, or who arechemically dependent.
The Division of Substance Abuse provides policy directions, programfunding and monitoring for substance abuse prevention and treatment programs,including administration of the Substance Abuse Prevention and Block Grant,statewide administration of DUI (driving under the influence) educationand treatment programs, and conduct of substance abuse treatment needsassessment programs.
After a brief explanation by Moses, Mr. Coates made a motion to adoptthis schedule change, seconded by Dr. Ellis. The motion carried.
OTHER BUSINESS
Belding distributed a draft policy statement for the Find-It! Kentucky project, which is Kentucky's version of a Government Information LocatorService (GILS). GILS is a means of providing improved access to governmentinformation resources. Find-It! Kentucky will be a standards-based "one-stopshopping" Internet service for the citizens of Kentucky to locate and accessstate and local information found on agency web sites and in agency publicationsand databases. The main kick-off meeting for Find-It! Kentucky is scheduledfor the morning of September 15th. Approximately 50-60 peoplefrom government and other sources are expected to attend the meeting. Kentucky is one of several states that have pursued this kind of initiative. GailPalmer, deputy director of Find-It! Washington, Washington State, willbe meeting with Department staff following the Commission meeting, andwill also be present at the kick-off meeting on the 15th. Washingtonhas been a significant player in initiatives of this type. Ms. Valicenticoncurred with Belding that Washington State has been a leader in thisarea, having received several awards over the past few years as a modelfor how information can be disseminated, especially over the Internet.This is one area, Valicenti said, where Kentucky does not have to reinvent,but can take something that has already proven to be workable and buildupon it.
The next item of business was an update by Belding of the status ofthe Department's capital planning projects. Belding reiterated that theDepartment had received two capital appropriations, approved during theregular session of the General Assembly. The first was for $200,000 foran archival facility feasibility study and the second was for $1.188 millionto design and implement a Document Management Digitization System (DMDS)to expand the Department's format conversion activities, through scanningand other means, and to create the equipment base for the facility.
According to Belding, the Department is in the final stages of writing a Request for Proposal (RFP) for a personal services contract for a consultant to provide benchmark information that will help inform both the Department's plan for and concept of an archival facility addition to the Coffee Treelocation, as well as the policy environment in which the facility wouldoperate. A core responsibility for the consultant will be to help determinewhat the nature of the record-creating environment is likely to be overthe next ten to fifteen years among the agencies with which the Departmentinteracts and to which it provides services. These include all state governmentagencies, the eight public universities, the Judicial Branch and judicialoffices in Kentucky's 120 counties, approximately 2,900 offices of localgovernment, and the Legislative Branch. The purpose of the study will beto get a better sense of how rapid the evolution to an electronic environmentis likely to be so the information can be factored into the plans for thenew facility.
Belding acknowledged that government agencies are conducting more andmore business electronically but that the policy framework and policy structure for the management of electronic records that have continuing value isnot fully in place. A second core element of the consultant's work, therefore, will be to make strategic recommendations on policy and procedures to implement an electronic records management program. Belding said the Department isworking very closely with the Governor's Office for Technology (GOT) inregard to the development of policies and procedures. GOT has committedto the creation of an electronic records committee to begin to deal withpolicy issues and to make recommendations for appropriate statutory orregulatory changes. It also would work to develop appropriate languageto change the state's information architecture, which includes the standardsand procedures framework that governs the information infrastructure, hardware,software, and communications standards for the state. The consultant'swork will be critical to this process.
A third element for the consultant involves a consideration of the place that the increased digitization capacity, DMDS, has within the contextof an expanded archival facility. It is probable that this facility willhave some electronic records repository capacity, in addition to the otherkinds of archival management challenges that the facility would continueto have to meet. The Department works with agencies within their currentrecordkeeping frameworks, and agencies' current activities are generallygoverned by fiscal resources and, to some extent, by policy issues. Someagencies are more highly invested in electronic technology, while othersare not. At the local government level, there may not be the fiscal meansto regularly invest in updates to information technology. The Local Recordsgrants program has helped some local agencies move ahead in this area.The Program has provided examples and models which local agencies can chooseto build on to secure funding from their legislative authorities and fiscalcourts, to expand the use of technology.
Within the context of an expanded archival facility, DMDS is designedto ensure that the Department doesn't continue to absorb just paper records, but that it looks toward the future and the new ways that information will be captured, always mindful of the long-term availability, accessibilityand preservation of records, regardless of the media in which they maybe created.
According to Belding, this stage of the consultant's activities is expected to take about four months. Following that, it is likely there will be arequest for quotes for architectural services. This process can take upto seven weeks. The recommendations received and the business case madeas a result of the consultant's activities will aid the Department in planningfor the initial design stages of the building addition. April 15, 2001,is the deadline by which the Department must submit a proposal to the CapitalPlanning Advisory Board, Belding said. The Department will submit a proposalthat brings the Board up-to-date on the use it has made of the capitalappropriations received, as well as a proposal with regard to a buildingaddition. This proposal will be further amplified as additional informationbecomes available to the Department from the architect. In July or earlyAugust 2001, the Cabinet will make a presentation before the Board, whichwill give the Board members the opportunity to ask for clarification regardingthe project. The Board then makes its recommendations for funding of capitalprojects in late September or early October 2001.
Belding said the Department is fortunate to have received the planning
funds, particularly the DMDS funds. The Department had strong collaborative
support from GOT, when the projects were reviewed during the previous cycle
of the Capital Planning Advisory Board.
The Department appreciates the support it has received from GOT. Itis a measure of the common interests between the two agencies, Beldingsaid.
A major area of consultancy activity and planning work will probablyinvolve a Strategic Alliance Services (SAS) vendor. SAS vendors are largeconsultant and planning firms in the technology area that have been pre-approvedto provide services to state agencies. That type of organization wouldprobably be engaged to help the Department design the workflow and implementationand recommend purchases associated with DMDS.
The Department's intermediate challenge is that there is not sufficient space now to house DMDS equipment. The Department has a space planningcommittee that is looking at evolving space needs within the agency andis trying to help use available space as efficiently as possible. Beldingsaid he is hopeful that more space will be available in the coming yearto permit the Department to make the necessary equipment purchases forthe gradual phasing in of DMDS.
Belding advised the Commission members that Charles Robb, formerly manager of the Department's Technology Analysis and Support Branch, had accepteda position with the Governor's Office for Technology, effective August2000. Belding said that Robb had had a great deal of input into the evolutionof the Department's electronic records program and that he would be missed.Glen McAninch, of the Technology Analysis and Support Branch, is currentlyacting branch manager. Belding also advised the members that Jerry Carlton,previously a Local Records regional administrator, was selected to replaceDarrell Gabhart, who retired August 2000.
Coates said that he hoped the Department would be able to secure theresources and personnel to move forward with these initiatives. Beldingsaid that due to Robb's work, the Department had been able to maintaingood communication with other states that have undertaken similar kindsof initiatives. Kansas and Ohio have both created electronic records committeesthat are addressing very similar issues to Kentucky. Pennsylvania has recentlycompleted a strategic assessment project that also is very much like whatKentucky is undertaking. Ohio and Minnesota are also looking at similarissues. Robb was involved as an outside expert on two of these projects.Belding said the National Archives and Records Administration's role infunding electronic records studies at the San Diego Super Computer centeris also very important. Some of the results from that project can be viewedat www.sdsc.edu/DOCT/,their web site. The project involves designing a way to ensure the preservationof electronic records as digital objects over the long term, in a formthat is scalable. An organization would not need a super computer to function.The work could be done in a large or small environment, depending on needs.
Dr. Ellis asked how the future digitization of records would relateto the records currently being created. Would there be two separate facilities, or would the archival addition be totally electronic? Belding said theRFP lays out three options that the Department wants the consultant toconsider. One option is to look at the Department's current facility; anotherwould be to consider the development of some kind of collaborative activitybetween the Department and another services facility, with the Departmenthaving administrative responsibility for the information and its physicalmanagement residing elsewhere. Belding said there are good models for thistype of approach in other states, such as Ohio. The last option is to considerwhether there might be a different involvement by agencies in the managementof electronic resources over a longer term. This option is not very welldefined at this stage, Belding said. What is important is that the consultantlooks at all options.
Belding said that one of the aspects of the DMDS proposal when it wasinitially
developed, was to be able to digitize information that was not"born electronic."
In other words, the Department accessioned information,initially, in a paper
format, with the creating agency subsequently movingto a more electronic
environment. There may be a continuing need by boththe creating agency or
researchers to access the information over the longerterm, so the Department
would need an electronic means to bring togetherthe records "born electronic"
with the previously accessioned paper records.Belding said there continues
to be a need for micrographics in the proposal,as there is equipment that
can film and digitize records simultaneously,in first version editions. There
are fiscal considerations that have tobe part of the solution, as well, Belding
said. Ellis compared the reformattingof records to the reclassification of
materials in university librariesfrom the Dewey Decimal System to the system
used by the Library of Congress.In many instances, it took libraries several
years to complete reclassification,due to the fiscal impact. Belding said
it is helpful to reiterate why recordsare characterized as having enduring
value. Records have enduring valuebecause some aspect of their content is
going to have some business valueor research potential in the long term.
All of the Department's activitiesneed to consider how access to such material
can be provided to users inthe future. There are several states, Belding
said, that are scanning recordsso that they can be provided over the Internet,
in response to researcherinterest. This is a very selective process. Not
everything is being scannedby these states, because of fiscal considerations,
but they are lookingto make a larger proportion of their holdings available
electronicallyso that more researchers can access them. That is probably
the most tellingchange that is occurring in the archival community. There
are customerexpectations and demands that are very different from the ones
experiencedin the past. The Department wants to be as responsive to user
expectationsas it can be, and accurate in projecting what resources would
be requiredto expand access.
Mr. Pinkerton asked how much space would be needed to house the DMDSequipment. According to Belding, approximately 8,000 to 10,000 square feetwould be needed to house an expanded micrographics and scanning operation.
DeLuca emphasized the importance of the partnership between the Department and the Governor's Office for Technology. According to DeLuca, the issueis as much about reeducating those who keep records as it is about preserving records. DeLuca said it is very fortunate to have the understanding andsupport of GOT and the Chief Information Officer. Belding said it is atelling statistic that while the state has invested heavily in an improvedtechnology infrastructure, it continues to work with the same human infrastructureas before. The business culture is evolving at a different rate than thegeometric rate seen for technology replacement. Belding said that duringthe period when the state has had the greatest investment in technologyin its history, the past five or six years, there has also been the greatestgrowth ever in transfers of records to the State Records Center. The Centerhas gone from 58,000 cubic feet in 1988 to 134,000 cubic feet of recordscurrently, and the amount of records stored continues to increase. A likelyreason is that electronic systems do not fully meet business needs as recordkeepingsystems, Belding said. The state is working on this issue, but until itis resolved and agencies can be assured that the information can be maintainedand accessible in an electronic environment over the longer term, paperwill continue to be the primary format used to store information.
Dr. Johnson asked about the process for selecting the initial consultant and had that individual been selected. Belding said that the Request forProposal is the process by which the consultant would be selected. TheRFP is in its final review and once approved, will be circulated.
Coates said it was important to point out that the Department has been dealing with these issues for more than 26 years. There is an electronichysteria sweeping our country, Coates said, and that it is hard for theDepartment to deal with some of the issues when all kinds of solutionsare being marketed, simply to make a profit. Restraint is sometimes needed,according to Coates, so that the Department and those dealing with theseissues do not get swept up in the mass hysteria of the electronic era.The Department, unlike other agencies, has a specific stewardship responsibilityfor maintaining historical information over the long term, not just ofany particular administration, Belding said. The Department has been therecipient of the fruits of innovation of previous eras that turned outto be not exactly as advertised. Belding said that Department staff werenot technology pessimists but rather technology optimists. The Department'sconcern is that it be able to fulfill its mission of assuring the preservationof and the reliable access to information in the years to come, as theelectronic environment evolves. Carlton said the reality is that if theDepartment does not get involved, especially at the local government level,there will be a variety of technologies in use, which could place the historicalrecord at risk.
Valicenti said there was a time when technology was on an eighteen totwenty-month cycle. Now, it is more like a six to seven or eight-monthcycle. It is very much like a merry-go-round, with no definitive beginningor end. The challenge, according to Valicenti, is to know when to get onthe merry-go-round, and there is hardly a good time. Vendors continuallyput out new products and people become enchanted with them, whether theproducts offer a solution to a problem or not. It is the responsibilityof GOT and the Department to determine whether the solutions are justifiedfrom a business perspective and a long-term capability perspective. Asan example, because a vendor puts out a specific product doesn't mean thestate has to invest in it. The purchase of a product should be based onsound business decisions, and because the product offers the best possiblesolution to a particular problem. Simple upgrades, which on an individualbasis are $90 or $100 upgrades, translate, from a state-level perspective,to a $13 million investment. These are the things that need to be consideredfrom a business case perspective. A business case is not only a financialone, but it's a case of determining whether a particular product worksas demonstrated and whether it will give the long-term benefits that areneeded. Valicenti said that as much as she is a technology optimist, she is not a technology dummy. Technology will continue to go forward, andthe state should take advantage of those areas where technology is goingto give a benefit at the front end. It is important to understand how information is being produced and captured in today's environment. Valicenti then made reference to the information life cycle, how records are created, how they are transferred from one area to another, how they are stored for retrieval purposes, and, finally, how the records are archived. Valicenti believesit is the final step of archiving information that never gets considered.Valicenti said that she appreciates the work of the Commission, as it doesconsider the life cycle of information when making its decisions. Valicentisaid that expediency has been the issue with many agencies, as well aslocal governments and, although most understand creation, maintenance anduse of information, they neglect to build in retention and archiving requirements.
Valicenti said there are a number of services available today that were
not available in the past, such as private facilities for the storage ofelectronic
records. Having come from the private sector, Valicenti hasan appreciation
for the various services that are available related tothe storage (archiving)
of electronic records. There is a tendency nowto think in terms of a global
environment and global services. Anotherarea where technology can be of benefit,
Valicenti said, is in the retrievalof information from paper-based records,
using indexing techniques to accessinformation. Sometimes the solution to
a problem is the marriage of twodifferent technologies, a combination of
the old versus the new methods.
On another matter, Belding reminded the Commission members that Kentucky has a State Historical Records Advisory Board (SHRAB). SHRAB is a state-level body that review grants that are destined to go to the National Historical Publications and Records Commission (NHPRC), a grant-funding arm of theNational Archives, in Washington, D.C. SHRAB also has a planning role forhistorical records issues in the state. Kentucky has had such a board formore than 20 years. During that time, institutions, such as the universities,the Kentucky Historical Society, the Filson Club, the Department, and BereaCollege, to name a few, have received grants that have been reviewed bythe state board. SHRAB is charged with developing statements of priorityand need to assess what the deficits are in terms of historical recordsprograms, care or organization in the state. The state has received over$1 million in NHPRC grants over the past 23 years. Kentucky is within thetop ten of states, in terms of the dollar amount of grants received, whichis disproportional to its population and other measures. This amount isindicative of the initiative of the different institutions in Kentuckythat have applied for grants. The state board reviews grants from bothpublic and private institutions. The NHPRC is charged with providing supportto institutions, both private and governmental. Another function the NHPRCsupports is documentary publications editing projects. For many years,there was a team at the University of Kentucky working on the papers ofHenry Clay, a project that was supported by the Commission. Those typesof grants do not come through the state board.
The members of the state board have been appointed by the Governor,since its inception. There is nothing in state statute that refers specifically to the board. Its function, the criteria for membership, and the natureof its responsibilities are set forth in the Code of Federal Regulationssections that relate to the functions of the National Archives and theNHPRC. Belding said that the fact that members have traditionally beenappointed by the Governor has presented several challenges. One of thoseis that the board has not been able to consistently secure the supportof the Governor's Office to stagger the appointments of the members sothat terms do not all expire at the same time. Without staggered terms,corporate memory is lost. Federal regulations specify that the head ofthe state archival program (Belding) is the state coordinator of the board.Belding said that both the State Archivist and the head of the KentuckyHistorical Society are mandated to be on the board by federal regulation.
Belding brought the matter of the appointment process and its possible revision to the Commission for its input and suggestions, to find a process to more effectively secure more diverse representation on the board. DeLuca said that Nelson and Belding proposed the same issues to Secretary Helm,who in turn met with representatives from the Governor's Office. The resultof that meeting was to ask for input about how the board should operatein the future. The Governor's Office believes there is no interest in keepingthe board as a gubernatorial appointed one, if that is not meeting currentneeds.
DeLuca suggested that the board could possibly be a subgroup of theState Archives and Records Commission. Belding said Nelson, as chair ofthe Commission, could make recommendations to it about the creation ofadvisory boards. SHRAB has provided advice in the past to the Commissionin the areas of electronic records management, space needs, etc. Beldingpointed out that an individual could only serve on one gubernatorial appointedboard or commission at a time. An individual appointed to one commissioncouldn't be considered for appointment to another, until the term expires.If the board were made an advisory group to the Commission, its identityand its function would be no different than it is now and it could fulfillthe same mission, Belding said. If the Commission approves the recommendation,the NHPRC would be advised that an alternative method for selecting membershas been chosen. Belding said making the board an advisory body to theCommission would not be dissimilar to what has occurred in other states.
Dr. Morison asked if the Governor's Office would be accepting of a possible change. DeLuca said the Office wants input from the Commission and is willing to consider its recommendations, because there is no interest in maintaining the board if it is not serving needs.
There followed additional discussion about the proposed recommendation to make the board an advisory body to the Commission.
Dr. Morison made a motion to establish the board as an advisory bodyto the Commission, seconded by Ms. Hollingsworth. The motion carried.
Belding then gave a brief update regarding Kentucky State Universityand the recent investigations and inquiries into the management of itsrecords. Belding said that the University has been encouraged to schedulea series of records management workshops for administrative, academic andprogram staff. The workshops would be fundamental to addressing problemsthe University is having in controlling and managing its records. To date,the University has had to cancel the workshops that have been scheduled.Mr. Hatchett offered his full support in seeing that the workshops becomea reality. Belding offered his appreciation to Hatchett and his staff forthe cooperation the Department has received from the Auditor's Office inthis matter.
Belding adjourned the meeting at 11:40 a.m.