STATE ARCHIVES AND RECORDS COMMISSION

Minutes of the Quarterly Meeting

September 19, 1996

Department for Libraries and Archives

The State Archives and Records Commission met September 19, 1996, 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; Dr. Jack D. Ellis, representing Citizens-at-Large; Cynthia Etkin, representing the Kentucky Library Association; Melba Porter Hay, representing the Kentucky Historical Society; Ed Hatchett, Auditor of Public Accounts; Howard T. Goodpaster, representing Citizens-at-Large

Representatives present: Lou Deluca, representing Dr. Roy P. Peterson, Secretary, Education, Arts and Humanities Cabinet; Leslie Cummins, representing Don Cetrulo, Director, Legislative Research Commission; Mark Board, representing Stephen N. Dooley, Commissioner, Department of Information Systems; Victor Fox, representing A. B. Chandler, III, Attorney General.

Members not present or represented: Dr. William J. Morison, representing regional colleges and universities; Robert F. Stephens, Chief Justice, Kentucky Supreme Court; Dr. James Ramsey, State Budget Director, Governor's Office for Policy and Management; Jo Leta Hamilton, representing local governments; and Cheryl Jones, representing Citizens-at-Large.

Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Larry Gillis, Records Analyst; Dr. Frank Levstik, Regional Administrator; Jerry Carlton, Regional Administrator; Gerald Thompson, Regional Administrator; Barbara Teague, Manager, Archival Services Branch; and B. J. Webster, Administrative Secretary.

Guests present: Linda James and Bruce Weathers, representing the City of Louisville Archives; Kandie Adkinson and Opal Rice, representing the Secretary of State's Office.

Prior to the beginning of the meeting, Melba Porter Hay and Victor Fox were sworn in as members of the Commission.

Chairman Nelson called for introductions of Commission members.

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

NEW OR REVISED RETENTION SCHEDULES

City of Louisville - Department of Community Services

Dr. Frank Levstik was the regional administrator working on this new schedule. The series being scheduled are L3903, Completed Complaint Reports, and L3906, Summa-4 Reports. Levstik advised the Commission members that these schedules, plus those approved by the Commission at its June meeting, represent the first major updates to the City of Louisville retention schedule since 1980. Additional schedules for the City will be submitted in the coming months.

City of Louisville - Disaster and Emergency Services

Dr. Levstik was the regional administrator working on this new schedule. The series being scheduled are L3907 to L3914, a total of eight records.

City of Louisville - Employee Relations

Dr. Levstik was the regional administrator working on this new schedule. The series being scheduled are L3887 to L3899 and L3901, a total of fourteen records. During the Advisory Committee meeting, questions were raised about series L3896, Compliance Reports - State and Local Civil Rights Agencies, and L3899, EEOC Complaints, and whether the information contained in these series is also captured in other documents filed with the City. According to Levstik, information from both series is captured in annual reports to the Mayor. Annual reports are permanent records under the General Checklist of Records, found in the City Schedule.

City of Louisville - Office of Health and Environment

Dr. Levstik was the regional administrator working on this new schedule. The series being scheduled are L3904, Health Records, and L3905, Environmental Records.

City of Louisville - Office of Public Safety

Dr. Levstik was the regional administrator working on this new schedule. The series being scheduled is L3902, Parade Permits.

There being no further discussion, Dr. Clark made a motion to adopt the City schedules identified above as one body, seconded by Mr. Board. The motion carried.

Court of Justice - Post-1977 Records

Larry Barnett was the regional administrator working on this revised schedule. The series being scheduled are 04491; 00182 to 00186; 01029; 00187 to 00188; 03067 to 03069; 00810; 00189 to 00194; 00811 to 00812; 00195 to 00196; 00813; 00197 to 00198; 00814 to 00823; 00200 to 00202; 00824; 00203; 04009 to 04011; 04210; 04212; 00204 to 00206; 04641; 00825 to 00826; 00207 to 00211; and 00213 to 00214. The total number of series being scheduled is 59. The records being deleted from the schedule are: 00215; 00827; and 00216 to 00223. The majority of these records are covered by the General Schedule for State Agencies.

The Circuit Courts were created in 1802 by the Kentucky General Assembly, replacing the (old) District Courts 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.

Chairman Nelson informed the members that this revised schedule was being deferred for consideration until the December meeting of the Commission. Belding advised the Commission members that the Archives and Records Management Advisory Committee had reviewed the schedule at its meeting last week. He explained that the Advisory Committee was prepared to accept the schedule as proposed but that based on internal discussions within the Public Records Division, it was decided to withdraw the schedule from further consideration until issues relating to activity levels of series 00187, Probate Case Files, 00817, Involuntary Hospitalization/Disability Case Files, 00202, Individual Case Files, and 00206, Adoption/Termination Case Files, could be looked at more closely. Belding said that after speaking with representatives of the Administrative Office of the Courts about the activity issue, it was decided to withdraw the schedule until the matter could be cooperatively resolved. Belding then acknowledged the good work of Larry Barnett on this schedule.

Board of Dentistry

Larry Gillis was the records analyst working on this revised schedule. The series being scheduled are: 00904, Master Folder of Dentists; 04600, Master Folder of Hygienists; 00905, Register of Licensed Dentists; 00906, Register of Licensed Dental Hygienists; 04601, Register of Licensed Specialists; 00912, Scholarship Folders; 00914, Dental Laboratory Technician Registration File; 00915, Dental Laboratory Registration File; and 04602, Applications for Licenses (Not Accepted). The series being deleted from the schedule are 00907 to 0911, 00913, and 00916 to 00917.

Under the terms of KRS Chapter 313, the Board of Dentistry is charged with the responsibility for licensing dentists and dental hygienists, and for registering dental laboratories and dental laboratory technicians. The Board consists of nine members, appointed by the Governor for four-year terms. Of the nine members, seven must be practicing dentists, one must represent citizens-at-large, and one must be a licensed dental hygienist. The Board was created in 1866 as the State Board of Dental Examiners. The name was changed in 1978 to the Kentucky Board of Dentistry.

Gillis explained that this was a revision of the previous schedule, which was approved by the Commission in 1980. He then explained that three series were being changed, three new records were being added and eight records were being deleted from the schedule. The deletions are for records covered by the General Schedule for State Agencies, are no longer being created, or are for records that are now contained in other scheduled series.

Mr. Hatchett made a motion to adopt this revised schedule, seconded by Mr. Goodpaster. The motion carried.

Finance and Administration Cabinet - Kentucky Veterans Center

Larry Gillis was the records analyst working on this new schedule. The series being scheduled are 04603 to 04612, a total of ten records.

The Kentucky Veterans Center, located in Wilmore, Kentucky, was opened July 6, 1991, under the terms of KRS 36.350. The Center is a 300 bed nursing facility designed specifically for Kentucky's elderly veteran population, and their long-term care. Included in the facility is a pharmacy, physical therapy department, barber shop, gift shop, library, and a day care facility for the children of Center employees. The Center is the only one of its kind in Kentucky. To be eligible for admission, the veteran must have other than a dishonorable discharge and must have entered the service from Kentucky or have been a resident of Kentucky for at least two years prior to admission. Fees are based on the ability to pay.

After an introduction of the schedule by Mr. Gillis, Dr. Ellis made a motion to adopt this new schedule, seconded by Mr. Fox. The motion carried.

Economic Development Cabinet - Job Development - Site Evaluation

Larry Gillis was the records analyst working on this schedule change. The series being added to the schedule is 04617, Floodplain Stream Profiles.

The Economic Development Cabinet, formerly known as the Commerce Cabinet, oversees economic development activities throughout the Commonwealth. These activities bring the Cabinet into contact and cooperation with a wide range of private industries and businesses of all sizes, state and local development organizations, other state government cabinets, local communities and schools. Its overall mission is to create

more and higher quality opportunities for all Kentuckians by building an ever-expanding, sustainable economy.

The Department of Job Development coordinates recruitment of industries that will enhance the overall viability of Kentucky's economy. The Site Evaluation Division compiles statistical information, site maps, listings of available buildings, and possible sites for new construction.

Gillis informed the Commission members that he is working to revise the entire schedule for the Cabinet, but that the series under consideration needed to be scheduled in advance of the completion of that revision.

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

Finance and Administration Cabinet - Office of the Controller - Division of Accounts

Diana Moses was the records analyst working on this schedule change. The series being changed is 00394, Capital Construction Fund Voucher File, from eight years to twenty.

The Finance and Administration Cabinet is responsible for the management of the financial resources of the state. The Cabinet is involved in a wide range of activities, including the state accounts system, government printing needs, the investment of public funds, oversight of capital construction projects, managing information systems, employee training programs, and property acquisition and leasing.

The Office of the Controller was established by Executive Order 93-142 and confirmed by the 1994 General Assembly (KRS 42.0201). The Secretary appoints the executive director of the Office, who functions as the state controller. The state controller serves as the Commonwealth's chief accounting officer and is responsible for all aspects of accounting policies and procedures. The state controller, executive director of the Office of Financial Management and Economic Analysis, and the state budget director all develop and maintain the Commonwealth's strategic financial management program.

The Division of Accounts performs financial recordkeeping and is responsible for state government's duties and functions relating to the county fee system and debt issuance for local entities. It is also responsible for the performance of the state's unified and integrated system of accounts, fiscal reporting to branches of government, and other functions of the Cabinet.

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

Local Health Department Model

Dr. Frank Levstik was the regional administrator working on this schedule change. The series being scheduled are L3874, Medical Screening Record, L3875, STD (Sexually Transmitted Disease) Record, and L3876, Immunization Permission Slips.

Levstik informed the Commission members that the need to schedule these series was brought to his attention by the Louisville and Jefferson County Health Department. The series are unique to the larger health department facilities. The retentions being proposed conform to requirements of the federal Centers for Disease Control.

Mr. Coates made a motion to adopt these schedule additions, seconded by Mr. Hatchett. The motion carried.

Revenue Cabinet - Department of Compliance and Taxpayer Assistance - Income Tax - Individual, Business, Corporate - Motor Fuels Tax - Taxpayer Service Center

Diana Moses was the records analyst working on these schedule changes. The series being added to the schedule for the Income Tax section is 04636, Kentucky Estimated Tax Voucher File. The series being added to the Individual, Business, Corporate Section is 04638, Notice of Tax Due. The series being added to the Motor Fuels Tax Section are 04627 to 04634, a total of eight records. The series being deleted from this Section are 165 to 170, a total of five records. The last series being added is 04637, Check Register Log, Field Operations, to the Taxpayer Service Center section of the schedule.

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 of public utilities and public service corporations, and enforcement of revenue and tax law (KRS 131.030). The Cabinet is made up of the Office of General Counsel, the Department of Property Taxation, Department of Compliance and Taxpayer Assistance, and the Department of Administrative Services.

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. 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. The Department's duties include recordkeeping, providing data services, conducting audits, rendering taxpayer assistance, collecting delinquent taxes, providing word processing services, and enforcing the criminal laws involving revenue and taxation.

Moses explained to the Commission members that Kathy Gilliland, formerly with the Public Records Division, was in the process of revising the entire schedule for the Cabinet, which was originally approved in 1978. The project will take several months to complete. Revised schedules will be presented for consideration as Ms. Gilliland proceeds with the project. The major revision being submitted this time is to the Motor Fuels Tax Branch.

After a brief explanation of the changes being made to the schedule, Dr. Clark made a motion to adopt them, seconded by Ms. Etkin. The motion carried.

Revenue Cabinet - Department of Property Taxation - Local Valuation - Property Valuation Administrator

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04635, Affidavit for Correction/Exoneration of Motor Vehicle/Boat Property Tax.

The Department of Property Taxation is responsible for the administration and supervision of the 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 131.020 and 131.030; 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 PVA offices and the coordination of the property tax activities of the 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.

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

Secretary of State - Corporate Filings

Diana Moses was the records analyst working on this schedule change. The series being changed are 03396, Uniform Commercial Code Financing Statement File, from six months to one year, and 03397, Uniform Commercial Code Filings Index, from six months to destroy after last related file is destroyed.

The Secretary of State is an elected constitutional state officer entrusted with filing, maintaining and preserving important state documents and public records, such as books, records, deeds, maps and other official papers, and recording official acts of the Governor and reporting them to the General Assembly. The Secretary of State keeps the Seal of the Commonwealth and affixes it to all communications and commissions issued in the name of the state. He is also designated as the state's agent for service of process under the "Long Arm" statute for nonresidents and for foreign corporations. In addition, he determines whether a runoff primary election is necessary for either or both parties and is a member of the State Board of Elections and the County Debt Commission.

The General Administration and Support Office is responsible for central policy research, planning and implementation; implementation of election laws pertaining to the Secretary of State; administration of Kentucky's notary public and uniform commercial code laws; and administration of laws pertaining to the service of summonses, complaints, and trademarks/service marks. The Office also includes the Land Commission Office, which is responsible for recording deeds and titles to state-owned properties and other original land grants and survey documents; processing arrest warrants; and issuing commissions, pardons, commutations, and extraditions. The Register of Land Office was a constitutional office until abolished by an amendment to the Constitution in 1992.

By way of background, Moses explained that the series under consideration were deferred from the June meeting of the State Archives and Records Commission. At the June meeting, Perry Ryan, representing the Office of the Attorney General, raised questions about the proposed retention of the series. Ryan felt that three years might not be sufficient. During the interim, Moses worked with staff in the Secretary of State's Office to determine if a longer period would be necessary. Ms. Opal Rice, of the Uniform Commercial Code section of the Secretary of State's Office, stated that there had only been one inquiry against these records in the past 15 years. This factor plus existing laws, which require a one year retention of the financing statements after their lapse or termination, resulted in a recommendation by the Secretary of State's Office that the series in question only be retained for the same one-year period.

Ms. Adkinson said that such groups as the Commission give the opportunity for Secretary of State staff to examine existing statutes to ensure that retention periods for records are in keeping with current laws. Ms. Adkinson then thanked Ms. Moses and Mr. Belding for their assistance in this project. Nelson also thanked Adkinson for her continued participation in the annual Archives Institute.

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

Transportation Cabinet - Department of Fiscal Management - Division of Accounts

Diana Moses was the records analyst working on this schedule change. The series being changed is 04615, Departmental Pay Voucher File, from three years to eight and destroy after audit. Series 610, Remittance Sheets, is being deleted. A change in retention is being proposed due to the delegation of pre-audit responsibilities to the Transportation Cabinet by the Finance and Administration Cabinet.

The Department of Fiscal Management is responsible for the fiscal administration of the Cabinet. It coordinates the budgeting, accounting and auditing functions within the Cabinet, in accordance with KRS Chapters 12, 45, 48, and 176. The unit furnishes timely financial data and reports to aid management and operating sections in accomplishing their objectives, and provides daily processing of billing, vouchers, contract reviews, and a variety of audit materials.

The Division of Accounts is responsible for the formulation and implementation of programs and practices with respect to the receipt, allocation, management and disbursement of all funds received by the Cabinet.

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

Transportation Cabinet - Division of Vehicle Regulation - Division of Motor Carriers

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04614, U-Drive-It Application for Fee Receipt Card File.

The Department of Vehicle Regulation was established by the 1974 General Assembly, with the enactment of Senate Bill 112 (KRS 174.015). The Department performs all activities relating to the licensing of motor vehicles and drivers in the Commonwealth. Authority is provided in KRS Chapters 138, 186, 186A, 189, 190, and 281. The Motor Vehicle Commission also is attached for administrative purposes to this Department.

The Division of Motor Carriers regulates all for-hire motor transportation within Kentucky. The activities involved include rate regulation, collection of fuel and weight distance taxes on motor carriers, and the issuance of overweight/overdimensional and hazardous/radioactive material transport permits, U-Drive-It cards, and truck identification documents.

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

Workforce Development Cabinet - Department of Technical Education - Division of Curriculum Services

Diana Moses was the records analyst working on this schedule change. The series being added to the schedule is 04613, Medicaid Nurse Aide Test Record File.

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 of Adult Education and Literacy.

The Department for Technical Education is responsible for management, control, and operation of non-degree programs in post-secondary and vocational-technical education. It may exercise powers and functions relating to a Kentucky technical system of state vocational technical schools, state-operated area vocational education centers, state technical institutes and technology centers. The Department may provide education training programs through contracts with private business and industry.

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

Dr. Clark asked if Division staff had progressed in the scheduling of most state and local agencies' records. Belding said the progress made thus far indicates the limits of the Division's resources to deal with the records that are being created and maintained by the numerous governmental agencies. The Division has a very limited number of staff to work with individual agencies. On the local level, the Local Records Program has four field staff. Each regional administrator works with approximately 30 counties, each containing more than 300 to 400 elected officials. At the state level, one analyst works with 80 or more agencies. That means, according to Belding, that when schedules are presented to the Commission, it is sometimes a triage situation, with staff trying their best to identify and schedule as many records as they can in response to the immediacy of the particular agency's records needs. There is certainly more work to do, according to Belding, than the Division has staff to accomplish.

OTHER BUSINESS

Chairman Nelson then recounted his and Belding's recent meeting with Empower Kentucky's Financial Management workgroup. Empower Kentucky is the Governor's initiative to streamline state government operations. Records issues, including specific recommendations for changes in recordkeeping systems, did come out of this meeting, according to Nelson. Nelson said that he suggested to the workgroup that the recommendations coming out of Empower Kentucky be sent to the Department for staff to review to determine the impact on agencies' records management programs, and for additional cost savings factors.

Nelson informed the Commission members of the meeting between Dr. Roy P. Peterson, Secretary, Education, Arts and Humanities Cabinet, and Crit Luallen, Secretary of the Governor's Cabinet, regarding the proposed addition to the Department's main facility, located on Coffee Tree Road. Nelson and Belding also attended the meeting. During the meeting, it was suggested that Dr. Clark host a luncheon for legislators and other key figures sympathetic to the Department's need for this additional records center services facility. The proposed date for the luncheon is November 6th. The Department is appreciative of the support of both Secretary Peterson and Secretary Luallen for this building addition.

Also during the meeting, Secretary Luallen expressed her belief that part of the next phase of Empower Kentucky should focus on records management and the cost savings that result. She suggested that Department staff meet with the Governor's Executive Cabinet to discuss what individual cabinets and departments are doing in their records management programs, with an eye toward improvements to generate additional cost savings. Dr. Clark emphasized that in a session like the one suggested, it will be important to stress the savings generated as a result of destruction of records that are no longer needed, while at the same time stressing the need for the additional facility to house and maintain the voluminous records that continue to be created and needed by agencies for business purposes.

Belding said that another issue that came out of the meeting with Secretary Luallen and the meeting with staff of Empower Kentucky was an understanding that managing information is as much about the elimination of redundant records, or information that does not need to be retained beyond a specified period, as it is about the role the Commission has in ensuring the preservation of core documentation that agencies are required to create under the terms of KRS 171.640. Belding felt the meeting with Empower Kentucky staff helped to bring about a better understanding of the issues involved. The meeting also offered a chance to increase staff sensitivity to ways to try to achieve significant economies and significant structural changes in state government in the short-term, while being mindful of the role of records management in the processes.

The last item of business was an announcement by Nelson that at the next meeting of the Kentucky Information Resources Management Commission, he would be nominated to serve as its chairman and that Stephen N. Dooley, Commissioner, Department of Information Systems, would be nominated as vice-chairman. According to Nelson, unless there are nominations from the floor, he and Mr. Dooley will become chair and vice chair of the Commission. The term of the chairman is two years.

There being no further business, Nelson adjourned the meeting at 11:30 a.m.