Department for
Medicaid Service
Department Mental Health/Mental Retardation Services
Public School District Retention Schedule
The State Archives and Records Commission met March 14, 2002, in the Board Room, Kentucky Department for Libraries and Archives (KDLA).
Members present: James A. Nelson, Chairman; Dr. Thomas D. Clark, representing the University of Kentucky; Ed Hatchett, Auditor of Public Accounts; Paul F. Coates, representing Citizens-at-Large; Dr. William J. Morison, representing regional colleges and universities; and Dr. Linda E. Johnson, representing Citizens-at-Large.
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 Brandon Haynes, representing Joseph E. Lambert, Chief Justice, Supreme Court.
Members not present or represented: Cheryl Jones, representing Citizens-at-Large; Dr. Jack D. Ellis, representing Citizens-at-Large; Lynne Hollingsworth, representing the Kentucky Historical Society; Shelia E. Heflin, representing the Kentucky Library Association; and Dr. James R. Ramsey, State Budget Director, Governor's Office of Policy and Management.
Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Diana Moses, Manager, State Records Branch; Glen McAninch, Manager, Technology Analysis and Support Branch; Jerry Carlton, Manager, Local Records Branch; Barbara Teague, Manager, Archival Services Branch; Milton Matzke, Manager, Micrographics Branch; Jim Cundy, Regional Administrator; Lena Jones Turner, Regional Administrator; Larry Barnett, Regional Administrator; Steve Ramey, AOC Regional Administrator; Mark Myers, Resource Management Analyst; Sunnye Smith, Grants and Contracts Specialist; and B. J. Webster, Administrative Secretary.
Guests present: Tom Doulle, Business Data Solutions, Inc.
For the record, Nelson called for introductions of Commission members.
Nelson presented a micrographics certificate to Mr. Tom Doulle, representing Business Data Solutions, Inc., located in Springsboro, Ohio. The certificate recognizes that the firm is a certified micrographics vendor and films state and local public records according to KDLA standards. The company does both scanning and microfilming of documents.
Dr. Morison made a motion to accept the minutes of the previous Commission meeting, seconded by Mr. Haynes. The vote by members and representatives present to accept the minutes of the previous Commission meeting was unanimous.
NEW OR REVISED RECORDS RETENTION SCHEDULES
Consideration of the General Schedule for Electronic and Related Records and the schedule for the Mine Safety Review Commission was deferred until the June meeting of the Commission.
Nelson advised the Commission members of the creation of the Electronic Records Working Group (ERWG) that would provide guidance and direction in the area of electronic records management to both the Commission and the Governor's Office for Technology. The first order of business for the ERWG, Nelson said, will be a review of the General Schedule for Electronic and Related Records, prior to its submission to the Commission for approval, and a discussion of electronic mail, as it relates to personnel issues involving the firing or dismissal of employees.
Dr. Clark asked about the progress of the National Archives and Records Administration (NARA) has made in the area of electronic records management and whether the states could benefit from its experience thus far. Nelson said that from an information policy perspective, he believes NARA is more focused on the federal recordkeeping process, leaving states to make their own policies. Nelson said that the Document Management Digitization System (DMDS) the Department is undertaking would, perhaps, help to give Kentucky more of a leadership role in the issue of electronic records management.
McAninch said that Kentucky's plans in this area were running in parallel with the National Archives. The General Schedule for Electronic Records that staff has developed is similar to what NARA has proposed. The plans for DMDS, a format conversion project, and the ultimate creation of a data archives, which will include imaging and "born digital" information, are similar to efforts being undertaken at the national level. The management of records that are created electronically is of strategic importance in the overall management of electronic information. The San Diego Super Computer project is geared in that direction, but its success is dependent upon the standardization of technology, as well as on analysis and cooperation among agencies.
Belding said that it was important that Kentucky take advantage of not only what is being done at the national level, but also the initiatives that have been undertaken by other states. Related to the creation of ERWG, Mark Myers, of the Technology Analysis and Support Branch, did an intensive review of similar groups in seven other states. The groups are heavily involved in the policy and standards environments in their respective states, which are important elements in laying the foundation for the management of electronic records. If policies and standards aren't in place, or if there isn't cooperation on that front, then it will be a much more difficult enterprise. Belding mentioned Minnesota's program and the Ohio Historical Society's state archival program as particularly noteworthy in this area.
Myers advised the Commission members of some changes that had been made to the General Schedule, since it was first reviewed in December. More detail will be provided when the schedule is submitted for approval in June.
Dr. Morison asked if legal requirements would be more specifically addressed in the schedule, rather than the deposition being "retain until all legal requirements have been met." McAninch said that legal retention requirements would be more defined in agency-specific schedules, relating to master files, and the General Schedule for State Agencies.
Nelson advised the Commission members that the schedule for the Mine Safety
Review Commission was deferred till June, due to several questions raised by the
Advisory Committee about the length of time the case files, or administrative
hearing files, should be retained.
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Department of Insurance - Health Insurance Policy and Managed Care
Moses was the records analyst working on this schedule change. The series being added to the schedule is series 05331, Utilization Review and Independent Review Entity File. It documents the review of hospital and medical costs, related to their eventual payment.
The Bureau of Insurance was established in the Office of the Auditor of Public Accounts in 1870. The Auditor appointed the Insurance Commissioner. The Department of Insurance became a separate administrative department in 1934 and the Governor appointed the Commissioner. In 1936, the Department became a division of the Department of Business Regulation. It became a department again when the Division of Insurance was removed from the Department of Business Regulation, in 1950.
The duties of the Department include: administering Kentucky's insurance laws, regulating the conduct of insurance business, licensing agents and other company representatives, administering insurance taxes, operating the State Fire and Tornado Insurance Fund, licensing insurance adjusters, enforcing the insurance code, promulgating regulations, and periodically examining all insurance companies doing business in Kentucky, to determine their solvency.
The Division of Health Insurance and Managed Care was created by Executive Order 99-37, issued January 11, 1999, and confirmed by 2000 House Bill 107. The Division regulates health insurers and managed care plans and oversees the Guaranteed Acceptance Plan. The Division has a health insurance compliance branch, health care financing branch, and health care insurance quality in managed care branch.
Dr. Morison made a motion to adopt the change to the schedule, seconded by Dr. Johnson. The vote by members and representatives present to adopt the schedule change was unanimous.
Department for Medicaid Services
Moses was the records analyst working on this schedule change. The series being added to the schedule is 05329, Pharmacy Program Prior Authorization File. It documents the prior approval of medicines that is required before Medicaid recipients can receive them.
The Department for Medicaid Services is the single state agency to administer
Title XIX
of the federal Social Security Act. Although most of the funds used
to match federal Medicaid are derived from the General Fund, about 21 percent of
the program's fiscal year 1999 match was from a provider tax.
Dr. Johnson
made a motion to adopt the schedule change, seconded by Mr. Haynes. The vote by
members and representatives present to adopt the schedule change was unanimous.
Department Mental Health/Mental Retardation Services - Division of Mental Retardation
Moses was the records analyst working on this schedule change. The series being added to the schedule is 05327, Client Application File, IMPACT Plus Program. It documents the approval of services for children who are severely emotionally disturbed or who have specific mental health conditions.
The Department for Mental Health/Mental Retardation Services, Cabinet for Health Services, develops and administers programs for the prevention of mental illness, mental retardation and chemical dependence. It also develops and administers an array of services and support for the treatment, habilitation and rehabilitation of persons who have a mental illness or emotional disability, who have mental retardation, or who are chemically dependent.
The Division of Mental Retardation provides training and technical assistance to providers and administers contracts with providers for provision of services to individuals with mental retardation and other developmental disabilities. It consults with provider agencies and communities to meet support needs of individuals and monitors agencies for compliance with standards and individual outcomes. It is responsible for planning and oversight of activities in establishing an infrastructure for a comprehensive client support system.
Dr. Morison made a motion to adopt the schedule change, seconded by Dr.
Clark. The vote by members and representatives present to adopt the schedule
change was unanimous.
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Department of Public Advocacy - Trial and Post-Trial Services
Moses was the records analyst working on this schedule change. The series being added to the schedule is 05330, Violent Offender Case File (sentences greater than 30 years).
The Department of Public Advocacy provides for the establishment, maintenance and operation of a state-sponsored and controlled system for the representation of indigent persons accused of crimes or suffering psychological conditions that may result in their incarceration or confinement. The system consists of full-time state-employed public defenders, full-time non-state public defenders, and part-time private attorneys who are under contract with the Department. Created by KRS 31.010, the Department also pursues legal, administrative and other appropriate remedies to ensure the protection of the rights of the developmentally disabled.
The Division of Trial Services provides legal representation to all needy persons accused of crimes punishable by loss of liberty or a fine of $500 or more, juvenile delinquency or status offenses, and all needy persons faced with involuntary commitments due to mental state or condition. The Division of Post-Trial Services provides mandated defender services at the post-trial level.
After a brief explanation by Moses, Dr. Clark made a motion to adopt the
schedule change, seconded by Dr. Morison. The vote by members and
representatives present to adopt the schedule change was unanimous.
Public School District Retention Schedule - Schools, Pre-School to 12 - Guidance
Jim Cundy was the regional administrator working on this schedule change. The series being added to the schedule is L5219, Gifted and Talented Student File. In Cundy's absence, Jerry Carlton presented the submission.
The series came to the attention of the Local Records Branch through the Gifted and Talented Program at the Kenton County Board of Education. Recent changes to administrative regulations delineate the way in which school systems are to implement programs aimed at gifted and talented students. The goal is to ensure that the programs are in compliance with current laws. Specific requirements include collaboration with a student's parent in determining an appropriate course of education for the pupil; notification regarding the proper course to take if the parent wishes to alter the student's education; and notification to the parent regarding the student's performance in the program at least once per semester.
The law creating the program requires that school districts be able to identify gifted and talented students. Any pertinent information from the series would be documented in the student's permanent academic record, including test scores.
Dr. Morison made a motion to adopt the schedule change, seconded by Dr. Johnson. The vote by members and representatives present to adopt the schedule change was unanimous.
Department of the Treasury - Division of General Administration and Support
Moses was the records analyst working on this schedule change. The change is to reduce the retention of series 03526, General Check Register, from five years to one, and to reduce the retention of series 03527, Payroll Register or Electronic Fund Transfer Register, from five years to one.
The first Constitution of Kentucky (1792) provided for a Treasurer to be appointed annually by the General Assembly. The second Constitution (1799) added that the Governor could appoint the Treasurer while the General Assembly was in recess. The third Constitution (1850) called for the elections of the Treasurer for a term of two years. The current Constitution (1891) established a four-year term. KRS Chapter 41 outlines the Department's responsibilities and delineates methods for deposits, withdrawals and disbursements of state funds.
The Division of General Administration and Support is responsible for the general administrative and support activities of the Department. It is responsible for information storage and retrieval, information systems and technology, and administrative services. The Division issues over seven million checks each year, reconciles various state bank accounts, administers and records court-ordered withholdings, and produces wire transfers for state government.
Moses explained that the retention periods for the series were being reduced as the information is now contained in the Management Administrative Reporting System (MARS), the state's uniform accounting system.
Dr. Johnson made a motion to adopt the schedule change, seconded by Dr. Morison. The vote by members and representatives present to adopt the schedule change was unanimous.
Next on the agenda was Other Business. The first item was a discussion of the Department's tracking of legislation during the 2002 session. Two documents were distributed to the members for their review. Nelson explained that the documents were arranged by Bill number and included the title of the Act, a brief description of the Act, Category of Interest, Status and Required Action. The category of interest relates to the Department's specific interest in the legislation.
Belding explained that one handout included bills that have passed both Houses, or have been signed by the Governor. The second handout includes bills that have had some action, that is, voted out of committee in one or both Houses, or passed one House. These bills are sorted by the action that would be required by the Department upon their passage. Approximately 395 bills have been tracked, with about 200 of them having had some legislative action as of today's meeting. Actions that might be required by the Department include the creation or revision of records retention schedules, updating of schedules as a result of organizational changes, and the securing of newly created state publications. Belding said that some bills were tracked because they impact libraries or state employees. Those bills don't have a required action, but are simply tracked. Belding said that during each legislative session there would be bills that are passed that would have a records management impact.
Belding specifically mentioned House Bill 279, an Act relating to death certificates, which requires that if diabetes is an underlying cause of death as a contributing condition, that it be listed on the certificate. The bill is of interest because House Bill 523, an Act relating to vital records, addresses access to birth and death records generally, and makes recommendations for changes in the existing language of the statute. The change, if passed, would deny access or block access to an entry on a death certificate provided to an individual that reflected the cause of death, primary or secondary. Belding said that many of the patrons who use the vital statistics indexes that the Department holds, that have always been open, are interested in their family health history and use the records to help identify medical conditions that may have been passed down through generations. The Department has received communications from individuals who are concerned that this kind of information may be denied to them, if HB 523 passes.
Dr. Morison commended the Department on its work to track legislation. Morison said it is a great service to the archives and records community of the state. Mr. Hatchett asked whether the tracking system was accessible through the Department's web site. Nelson said that up to this point it had been an internal document, primarily for internal use. Dr. Johnson encouraged the Department to post the information on the web, as there are records issues that the public should be aware of. Since the Department was not taking a stance on any particular bill, pro or con, Robb said that there should be no reason why the information could not be posted. It was the consensus of the members that the Department should post the documents on its web site, where they would be available to a wider audience. The information is available through the Legislative Research Commission's web site, just not in the format the Department uses.
Belding thanked Emma Hignite, Technology Analysis and Support Branch, for her work in managing the tracking of the legislation and in the identification of the bills that would be of particular interest to the Department.
The next item was an update by Nelson related to records management issues involving the University of Kentucky that were raised at the December meeting of the Commission. (Please refer to the December meeting minutes for additional information.) As a follow up to the December meeting, Nelson sent a letter to President Todd expressing the Department's interest in working with the university on the issues. A meeting was subsequently held with Jack Blanton, Senior Vice President for Administration, Paul Willis, Library Director and Records Officer, and Tom Rosko, University Archivist and Head of the Records Program, to discuss the records management issues that were raised that were specific to the University. One issue discussed at the meeting was the personnel records of former president Charles Wethington, which could not be produced as a result of open records requests made to the University. This is an internal issue and one that the University has the responsibility to resolve. Nelson said the meeting was a very positive one and that President Todd had pledged his support to revitalizing the interest and awareness of records issues on the campus, as recommendations are made to him for specific actions, such as increased records management training for faculty and staff. Nelson emphasized that many of the issues raised in December relate not just to the University of Kentucky but to the other universities as well.
Nelson said that one of the issues, which impacts each of the universities,
dealt with records (minutes, correspondence, etc.) of Boards of Trustees and
Regents and how they should be managed. Although the State University Model
Records Retention Schedule provides retention and disposition information
related to minutes and official and general correspondence, it may be necessary
to amend it to include more specific references to such records, Nelson said.
Nelson had asked that the Commission's Advisory Committee on University Records,
made up of records officers and records management personnel, be re-instated, to
provide a forum for the discussion of records issues that affect each of the
universities. The first meeting of the Committee was held February 28th, here at
the Department.
Belding said that one of the issues raised at the February 28th meeting was whether current guidelines in the Model schedule are explicit or extensive enough to ensure preservation of records of individual members of the Boards, both in their capacity as members and when carrying out additional administrative assignments for the Board. Another item discussed was the possible need to have separate sections in the Model that would expressly identify records and their locations. Doing that would restate series that are already included in the Model, but should help to clarify their status and readily identify where they can be found.
Belding suggested that Nelson forward a letter to each of the university presidents to reinforce the primacy of the Model as it stands now. Its broad application was made clear at the time of its enactment but this would be an opportunity, before changes occur to make it more explicit, for the Commission to express its support for the schedule.
Dr. Morison said he thought there was a growing awareness throughout the universities in Kentucky that employees have records responsibilities and that a lot of progress has been during the past few years in this area. Morison believes the steps the Commission and the Advisory Committee on University Records are taking will further improve the climate. Morison agreed that sometimes, in the confusion of a records schedule, that an office may not be able to find its particular records because they are not identified in the same way in which they are used to referring to them, and that records issues may then take a backseat to other more pressing activities. It is up to the individual universities to combat that by reinforcing the schedule and its applicability. Morison believes there has been much progress in this area. Belding agreed and said that the University of Louisville was the first to make the language of the Model consistent with how particular units are known on the campus, how records are referred to, and their location, which aids in implementation. Some of the other universities have done much the same thing.
Belding informed the Commission members that the university records officer listserv had been reinstated, as well, which should aid in a discussion of issues related to the scheduling of records.
After a brief break, Nelson moved to the last item on the agenda, the review of local records grants.
Nelson commended Sunnye Smith, Grants and Contracts Specialist, on her work on the project grants being considered.
Nelson said that due to the state's fiscal condition, the available funds for
the Local Records Program had been reduced by $80,000. Nelson said that county
clerks and other officials have stated on numerous occasions to him how much
they depend on grant funds and how much improvement there has been in their
offices as a result of receiving them.
Clerks have also said how much they rely on the Local Records staff to help them resolve local issues and that that is just as important to them as being recipients of grants.
In response to a question from Dr. Clark, Carlton said that after the reduction, the amount of grant funds available was $550,000 for this cycle. Nelson said that the grants wouldn't be released until after July 1st, in the event additional reductions become necessary.
Carlton said that due to the budget situation, Local Records staff was making a concerted effort to prioritize the type of grants to be recommended. In addition, local agencies have been asked to contribute funds of their own so that the maximum benefit from the grants could be realized. More partial grants have been recommended than ever before, again so that maximum use could be made of the funds available.
Dr. Clark made a motion to recommend approval of the grants presented for
consideration, as a group, to Commissioner Nelson, seconded by Mr. Coates.
Clark's motion was conditional, that is, based on the availability of funds. The
vote by members and representatives present to recommend approval of the grants
was unanimous.
Chairman Nelson adjourned the meeting at 11:10 a.m.
Last revised July 15, 2002
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