Minutes of the Quarterly Meeting
September 13, 2001
Department for Libraries and Archives
County
Clerk
Department
of Education - Internal Administration and Support
General
Schedule for State Agencies - Fiscal Records
Jefferson
County Police Department
Local
Government General Records Retention Schedule - Public Safety
Public
School District Retention Schedule
Revenue
Cabinet - Department of Tax Administration - Field Operations
Sheriffs'
Retention Schedule
The State Archives and Records Commission met September 13, 2001, in the Board Room, Kentucky Department for Libraries and Archives (KDLA).
Members present: Dr. Thomas D. Clark, representing the University of Kentucky; Ed Hatchett, Auditor of Public Accounts; Paul F. Coates, representing Citizens-at-Large; Dr. Jack D. Ellis, representing Citizens-at-Large; and Dr. William J. Morison, representing regional colleges and universities.
Representatives present: Louis DeLuca, representing Dr. Marlene M. Helm, Secretary, Education, Arts and Humanities Cabinet; Leslie Smith, representing Robert Sherman, Director, Legislative Research Commission; Amye Bensenhaver, representing A. B. Chandler, III, Attorney General; Charles Robb, representing Aldona K. Valicenti, Chief Information Officer, Governor's Office for Technology; and Geoff Pinkerton, representing Dr. James R. Ramsey, State Budget Director, Governor's Office for Policy and Management.
Members not present or represented: Carolyn Nichols, representing local governments; Cheryl Jones, representing Citizens-at-Large; Shelia E. Heflin, representing the Kentucky Library Association; Dr. Linda E. Johnson, representing Citizens-at-Large; Joseph E. Lambert, Chief Justice, Supreme Court; and Lynne Hollingsworth, representing the Kentucky Historical Society.
Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Jerry Carlton, Manager, Local Records Branch; Glen McAninch, Manager, Technology Analysis and Support Branch; Barbara Teague, Manager, Archival Services Branch; Jim Cundy, Regional Administrator; Lena Jones Turner, Regional Administrator; Larry Barnett, Regional Administrator; Steve Ramey, AOC Regional Administrator; Mark Myers, Resource Management Analyst; Michele Staton, Administrative Specialist; Jim Terry, Administrative Specialist; and B. J. Webster, Administrative Secretary.
Guests present: Shirley Botkins, Jefferson County Public Schools.
Richard Belding, Director, Public Records Division, conducted the meeting in Chairman Nelson's absence. Nelson had to attend a meeting outside Franklin County.
For the record, Belding called for introductions of Commission members.
Belding welcomed Mark Myers, who recently joined the staff of the Division's Technology Analysis and Support Branch as an electronic records specialist. Myers comes to the Department from the Alabama Department of Archives and History, where he had similar responsibilities.
Dr. Clark made a motion to accept the minutes of the previous Commission meeting and the minutes of the special meeting held July 6th, seconded by Dr. Morison. The motion carried.
NEW OR REVISED RECORDS RETENTION SCHEDULES
County Clerk Records Retention Schedule
Jerry Carlton, Jim Cundy and Lena Jones Turner were the regional administrators working on this schedule revision. The schedule is comprised of 350 series.
Kentucky's 1850 Constitution was the first to mention the office of the county clerk, providing for a clerk's election in each county for a term of four years. The present
Constitution also requires the election of a county clerk in each county for a term of four years. Prior to 1978, the county clerk served as the clerk of the juvenile, county and quarterly courts. After 1978, when the court system changed, the newly formed District Court became responsible for the activities associated with the courts listed above. Also, the name of the office was changed to County Clerk, to more accurately reflect the nature of the office.
The responsibilities of the county clerk are numerous and varied, falling into general categories of clerical duties of the fiscal court, issuing and registering, recording and keeping records of various legal instruments, implementing the election process, and tax duties.
Carlton explained that the submission is a revision of the County Model Records Retention Schedule, which was approved by the Commission in 1981. The original schedule contained 435 individual records series. The revised schedule contains 350 series, a reduction of 85. Carlton said that the majority of the deletions came from the motor vehicle, election and tax sections of the schedule. The Motor Vehicle section was reduced from 85 to 33 series; the Election section was reduced from 64 to 14; and the Tax section was reduced by six series. The reductions result from consolidation and deletion of records, and because many of the series are now managed under the recently approved Local Government General Records Retention Schedule. Also, the name of the schedule has been changed to the County Clerk Records Retention Schedule, to better reflect its contents and the office it covers. All of the records series contained in the County Model were reviewed and updated. Those series deemed to be obsolete were deleted, where appropriate. Since the previous schedule predates the consistent use of a record description and analysis form, 148 series out of the 350 have not been formally described on that form. Carlton said that staff would be working to complete the descriptions in the near term.
Carlton said that as a result of questions raised during the Advisory Committee meeting regarding chattel mortgages (series L1360), the disposition was changed from "zero retention in the agency and destroy" to "retain pre-1866 chattel mortgages, destroy all others." The change in the disposition is to ensure retention of records related to slavery issues prior to the Civil War.
Carlton explained to the Commission members that title liens and UCC (Uniform Commercial Code) filings have changed, especially UCC filings, which are now processed by the Secretary of State's Office. The Office processes all UCC filings except for fixture filings, collateral for minerals that have not been mined (except coal) and uncut timber. These filings continue to be processed by the County Clerk's Office. The other change is to title liens on motor vehicles, motor vehicle trailers, and manufactured housing. There is now a lapse period in the law that did not previously exist. Title liens on motor vehicles lapse after seven years and liens on manufactured housing lapse after 30 years. Previous to the change in the law, the Clerks could not discard any liens unless they were released. Carlton said that he had mistakenly put a seven-year lapse, rather than 30, in the disposition statement for series L5145, Title Lien Statement - Mobile Homes and Manufactured Housing. The disposition has since been changed to reflect the correct period of time.
Belding said that Carlton and his staff had had a number of requests from county clerks regarding issuance of an updated schedule for the office, and its inclusion on the Department's web site. Belding said he was gratified to see the amount of interest that had been shown by the clerks in wanting a more accessible way for a greater number of individuals to use the schedule at the local level. After approval, the schedule will be placed on KDLA's web site.
Dr. Morison asked if there was a provision, where appropriate, for some of the records that are listed as permanent in county clerk offices, to be transferred to the State Archives or a county archives. Carlton said it was not likely, unless there was an emergency, that local records would be transferred to the State Archives, due to space considerations. Any requests to transfer records to a local county archives would have to be approved by the Department, in advance. Morison said he was particularly interested to know if records could be transferred to the Jefferson County Archives, should that become a necessity. Belding and Carlton said that would not be a problem, as both the Jefferson County Archives and the City of Louisville Archives have worked directly with the Department for many years.
Dr. Ellis asked about the reduction in the number of series and whether many of them had been combined, thus eliminating individual records. Carlton said to some extent that was true; however, many of the records that were eliminated were administrative/housekeeping in nature and could be managed using the Local Government General Records Retention Schedule. Belding pointed out that when a new schedule is distributed that is specific to an office, such as the one for county clerks, staff also advises the officeholder or agency head that records of the agency may be managed using two schedules, the agency-specific one and the general one. This is generally true for both local and state agencies.
Dr. Clark made a motion to adopt this revised schedule, seconded by Dr. Ellis. The motion carried.
In regard to the schedules listed below, Dr. Clark made a motion to adopt them as a group, seconded by Dr. Ellis.
Morison asked for an update on the status of the internal affairs situation, particularly as it relates to the Jefferson County Police Department, since there was so much discussion previously about the issue. Carlton said that the Local Government General Records Retention Schedule has a law enforcement section. Records relating to internal affairs investigation files had been broken out between two series. The first series referred to "formal" investigations and its disposition was to destroy the records three years after termination of employment; the other referred to "informal" investigations and its disposition was to destroy the records one year after close of the investigation. The change that has been made is to eliminate the "formal" and "informal" designations and have one series titled "complaint file," with a disposition of destroy three years after termination of employment. The change will make the retention of internal affairs investigation files uniform across the state, with the exception of the Lexington/Fayette Urban County Police Department. Due to a lack of time, that schedule was not amended to reflect the changes. Carlton said the amended schedule would be presented at the December meeting of the Commission for its approval. The retention for internal affairs investigation files for the Jefferson County Police Department already reflects the three-year period.
Belding said that the change to the Local Government Schedule responds to concerns that the length of retention for internal affairs files should be uniform. Dr. Clark said that it also eliminates the confusion with "formal" and "informal" types of investigations and treats all complaints in the same manner.
Belding called for a vote on the above motion. All the changes to the schedules listed below were approved.
Department of Education - Internal Administration and Support
Diana Moses was the records analyst working on this schedule change. The series being changed is 04413, Official Ballot File for Board of Trustees Election, Teachers' Retirement System. The retention is being changed from six months to three years.
The structure of the Department of Education was significantly affected in 1990 with enactment of HB 814 and HB 940. The Workforce Development Cabinet was created in HB 814, which required the Department to transfer to the new cabinet programs dealing with adult education, vocational rehabilitation and adult basic education. HB 940, the Kentucky Education Reform Act of 1990 (KERA), was enacted in response to a 1989 Kentucky Supreme Court decision that held Kentucky's system of common schools to be unconstitutional. KERA provided that positions in the Department were to be abolished, that all employees were to be terminated at the close of business June 30, 1991, and directed the new commissioner of education to reorganize the Department with new positions, as of July 1, 1991.
The last reorganization of the Department was December 17, 1998, pursuant to Executive Order 98-1671. The Department provides assistance with curriculum design, school administration and finance, monitoring school district management, research and planning, and other services.
General Schedule for State Agencies - Fiscal Records
Moses was the records analyst working on this schedule change. The series being added to the schedule is F0084, Procurement Card Program Documentation File. The series documents the supporting records generated as a result of the Program.
The General Schedule for State Agencies is a schedule to identify, simplify and standardize the retention requirements of records common throughout state government.
Jefferson County Police Department
Cundy was the regional administrator working on this schedule change. The series being added to the schedule is L5134, Mobile Messaging Database.
The Jefferson County Police Department (JCPD) was established in February 1868. The Department has grown to 455 sworn officers and 244 civilian employees. JCPD patrols more than 365 square miles and serves the 400,000 residents of Jefferson County residing outside the city limits. The Department's major divisions are the Patrol Division, Criminal Investigations Division, Technical Services Division, Administrative Services Division, and Metro Narcotics. Support services include the Air Unit, River Patrol, the K-9 Unit, and the Traffic Unit. Auxiliary units consist of the Special Weapons and Tactics Team (SWATT), the Explosive Disposal Unit, the Honor Guard, the Dive/Rescue Team, Hostage Negotiations, the Critical Incident Team and the Vocal Ensemble.
Since October 2000, the County has used a computer messaging system in many of its squad cars to allow officers to communicate with each other and with the National Crime Information Center (NCIC). The Department of State Police maintain all NCIC transactions. The communication between officers is of a very routine nature. Dispatching is not done using the messaging system.
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Local Government General Records Retention Schedule - Public Safety
Carlton was the regional administrator working on this schedule change. The title of series L4705, Formal Complaints/Internal Investigation File, is being changed to Complaints/Internal Investigation File. The series is used to document internal affairs investigations of complaints received concerning police officers and law enforcement. The series being deleted is L4706, Informal Complaints/Internal Investigation File. There will no longer be a distinction between formal and informal complaints. All complaints will be treated the same and will have a disposition to destroy them three years after termination of employment.
Public School District Retention Schedule
Cundy was the regional administrator working on this schedule change. The series being added to the schedule are L5135, Statistics from Behavior Center, and L5136, Behavior Log.
The series come from the Waller-Williams Environmental School, in Jefferson County. The school offers a structured program for K-8 students identified as emotionally and/or behaviorally challenged and whose needs are best served in a specialized environment.
Revenue Cabinet - Department of Tax Administration - Field Operations
Moses was the analyst working on this schedule change. The series being added to the schedule are 05311, Training File-Tax Schools, 05312, Tax School Examination File, and 05313, Student Examination and Answer Sheet File.
The Revenue Cabinet is the chief revenue collection agency for Kentucky State government. As such, it is responsible for administration of General Fund taxes and the major Road Fund taxes, and the assessment of forty-four 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 law (KRS 131.030). The cabinet is comprised of the Office of the Secretary and the Department of Tax Administration, the Department of Property Valuation, the Department of Information Technology, and the Department of 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 June 11, 1997, renamed the agency the Department of Tax Administration. The department consolidated into one major operating unit all the functional responsibilities related to enforcing Kentucky's tax laws (except ad valorem taxes) and processing tax information. The department is comprised of the Division of Collections, the Division of Field Operations, the Division of Compliance and Taxpayer Assistance, and the Division of Revenue Operations.
Larry Barnett was the regional administrator working on this schedule change. In his absence, Jim Cundy presented the submission. The series being added to the schedule are L5152, Sex Crime Offender File, L5143, Notification of Sex Offender File, and L5154, Application to Carry Concealed Weapons File.
The duties of the Sheriff include tax collection, election duties, services to courts, and law enforcement. The Sheriff spends the majority of his time on civil duties, as opposed to criminal or law enforcement duties.
Series L5152 and L5143 have been closed at the local level. It is the responsibility of the Department of State Police to maintain information on sex offenders. The Department maintains a database of information regarding sex offenders that have been released by the appropriate Probation and Parole Office. The information is available on the Department of State Police web site. In the case of L5154, the Department of State Police is responsible for issuing the license to carry a concealed weapon. Additional information about the concealed weapons program is available from that entity.
The next item was Other Business. Belding updated the Commission members on the impact of the state's fiscal environment on the Department's budget. Specifically within the Division, the Local Records Program had a budget reduction of approximately $80,000 in its grant funds. Staff has taken steps to respond to the reduction in terms of adjustments to local grants that were previously approved and is seeking ways to work within the revised funding limits. Belding said, at this point, it was not known whether the Department would incur subsequent reductions.
During the interim between Commission meetings, Secretary Helm presented the Department's capital request for an expansion of its Coffee Tree facility to the Capital Planning Advisory Board. As has been mentioned in previous meetings, Belding said that the environment for approval of capital projects is highly competitive, during this period of fiscal constraints. Belding said that there is well in excess of a half billion dollars in capital requests which have been submitted for consideration, and that is just from the Executive Branch. The state's ability to incur bonded indebtedness is probably less than that amount, Belding believes. Although this is a challenging time to try to communicate the need for the expansion, Belding said staff is focusing on doing just that. State and local personnel whose agencies would benefit from the expansion will be encouraged to communicate their needs to those areas of the administration that might be interested in supporting the building expansion as a budget priority. Staff will be working to bring about a larger awareness of the importance of the State Archives, the importance of the services it provides, and the impact it has on every Kentuckian. Belding said it was important to communicate that the expansion is not a building enhancement that serves KDLA needs, but one that responds to the service requirements of state and local government agencies at every level. The problem is a challenging and complicated one. The Department will continue to have to deal with the creation of records in a paper format for the foreseeable future, while simultaneously dealing with electronic records and the challenges they present.
Dr. Clark asked if Belding could identify at least six agencies that would appoint a spokesman who would present the position of their agencies regarding the building expansion to the administration. Belding said that a number of local officials had contacted staff and asked if there were measures they could take to assist in communicating the need for the expansion. There are also several state agencies that Belding believes would offer the same assistance. Belding said that one of the challenges is that the some of the same state agencies that are large users of the Division's services also have capital requests for which they are seeking approval. The Administrative Office of the Courts (AOC) is an example of an agency that knows and understands the services of the Division and with whom staff works very effectively in a cooperative way, but which has its own budgetary challenges.
Dr. Ellis asked how the $80,000 reduction in grant funds would be handled and also what percentage the reduction represents of the total funds available. Belding said the Division receives approximately $630,000 each year for the Local Records grant program and that the $80,000 represents a little more than 12% of the total. Belding said that it is his understanding that the amount remaining after the reduction would be the new base budget from which the biennial request for the coming biennium would be calculated. As to how the reduction will be handled, Carlton said it would be necessary for staff to prioritize grant requests. The first priority is the microfilming of permanent records, to ensure their security and preservation. Requests by clerks for salary assistance for indexing projects would be a lower priority. Local Records staff will have to be more discriminating in their selection of projects for which they recommend funding, according to Carlton. Carlton believes that the direct service component of the Local Records Program is just as important as the grants component. The presence of Local Records staff in offices across the state has helped tremendously in bringing about an awareness of records and archival management. Another challenge, Belding said, is that as local government agencies experience pressure to move into information technology as a way of improving services and as a way to meet the expectations of their constituencies, the offices are finding that their resources are stretched considerably more in an ongoing way than perhaps they were a decade ago. Carlton said there are a number of counties that have invested in imaging technology, which is just the beginning of the costs that would be incurred. Additional costs include the conversion of older files so that complete records can be made available to researchers online, indexing, and staff support. The counties that have a sound tax base would be able to move ahead more quickly than the smaller counties whose resources are more limited.
Dr. Clark said that as a result of the Local Records Program, county clerk offices across the state have come light years beyond where they were several decades ago. Many offices have modernized and have shown vast improvement in how they manage and provide access to records. Clark said it should be made clear that Local Records funds have been well invested not only in the preservation of records, but also in improved access to them. Belding said that for years staff has been saying that it does no good to retain records if there is no means to access them. For people to have the perception that a repository of any kind, whether it's a records center or an archives, is simply an attic or closet or place where records are just stored is so far off the mark it would not be worth discussing, Belding said. An archives or a records center is an environment in which ready access to information is maintained, in very high volume. The same thing is seen on a smaller scale in local government offices, and grant funds have been well spent in this area.
On another matter, DeLuca said that after conversations with Aldona Valicenti, the state's Chief Information Officer, he believes the Department should proceed with two of the recommendations made by Dr. Greg Hunter, in the consultant's report he submitted and which was reviewed by the Commission at a previous meeting. The first is the creation of an electronic records advisory committee and the second is to establish a mechanism for applying archival and records management requirements to information systems under development. DeLuca sees the two recommendations as being related. If there is an electronic records advisory committee, staff may be able to gain better knowledge of what electronic records are apt to be created in the future. DeLuca proposed that the Commission give consideration to the make up of the committee. DeLuca said there would also need to be meetings with Ms. Valicenti, to form the committee, to understand its role, and to define its purpose.
Belding said that one of the items staff continues to work on with Dr. Hunter is an assessment of existing analogous bodies in other states that operate as electronic records advisory committees. Information about committees that have been created in several states has been made available to Dr. Hunter who will provide the Department an assessment that will aid in making decisions about what will work in Kentucky's environment.
Glen McAninch, manager of the Division's Technology Analysis and Support Branch, said that a survey of the states that have electronic records advisory committees or similar bodies has been sent to Dr. Hunter. A report from Dr. Hunter should be forthcoming, according to McAninch. The assessment is designed to provide the Department with various alternatives for the structure of Kentucky's committee, which also will impact on how KDLA staff relates to data processing staff, as well as the archives and records management community. Belding said that Dr. Hunter recommended several initiatives that the Department is pursuing and can pursue, while awaiting word on the status of the building expansion request. Staff continues to work on the second element of the capital appropriation received by the Department in 2000, to plan for the Document Management Digitization System (DMDS). Belding advised the Commission members that the business problem statement for a Strategic Alliances Service (SAS) technology vendor request, or procurement contract, for consultant support for the development of DMDS has been distributed to several staff in the Governor's Office for Technology (GOT) for their review. A meeting with GOT staff to discuss their review and recommendations is expected to occur in the next few days.
The next item was to update the Commission members on the status of the meeting Chairman Nelson and others had with the Louisville/Jefferson County Merger Transition Office. Belding said the discussion was very productive. Transition Office staff took those at the meeting through the steps that they are presently engaged in that are designed to lay the groundwork for planning for the transition. Belding said there is a planning committee made up of about 38 members, as well as seven work groups, that have responsibility for different functional areas within the local government. There are two co-chairs, one representing the city and one representing the county. The records area has been assigned to a broader "facilities management" responsibility, but there is also interest in records issues from the group that is responsible for information systems and technology. The Office's emphasis is to bring together those with similar interests and functions from both the city and county as a way of developing a basis for discussion that the individual groups can then work with further. The Office was glad for the interest of the Commission and Department and its staff hopes that KDLA staff will have discussions with the offices in both the city and the county regarding records issues. Commissioner Nelson was encouraged to consider having discussions directly with the co-chairs of the committees to bring information, possibly recommendations, that the committees might not otherwise be privy to. An example would be the experience of other merged governments in the country that may have brought records functions together, creating a single office to handle the related responsibilities. Carlton said that he thought the transition staff was on top of things and that they wanted to get the structure in place before 2003, when the elected officials take office, so there would be something already there for the officials to work with. Belding said he expects there will be further communication with the transition staff over the coming months.
Belding then updated the Commission members on the status of the emergency perimeter supplemental heating system that will be installed in the KDLA building by a contractor selected by the Finance and Administration Cabinet, the Department's landlord. The installation will impact the building on all floors, including the third floor, which is where the State Archives is housed. It will be necessary to remove supplies, equipment and other items from the third floor area to the adjunct records center to make room for the workers who will be installing the system. Supply storage has always been a challenge for KDLA, as the building does not have space dedicated for that purpose. The perimeter areas have generally been where such items were stored. The installation should be completed by the end of the calendar year.
The last item was to inform the Commission members of the need to lease an additional 10,000 square feet of space for records center storage, at the Buffalo Trace Distillery, on an adjacent floor, to meet continuing demands of state agencies. Currently, the Division leases 58,000 square feet of space, at two locations. The primary facility is located on East Main Street (18,000 sq. ft.) and the adjunct is located at Buffalo Trace (40,000 sq. ft.). The recent installation of shelving in the Buffalo Trace facility brings its capacity, in cubic feet, to 80,640. It is now fully shelved. The capacity at the East Main facility is 67,506 cubic feet, for actual overall storage capacity of 148,146 cubic feet of records.
The meeting adjourned at 10:50 a.m., on a motion by Dr. Clark and a
second by Dr. Morison.