Office of Aging Services
Office of Certificate of Need
Office of General Counsel
Office of Inspector General – Division of Audits
Office of Inspector General – Division of Long Term Care
Office of Inspector General – Division of Special Investigations

Department of Housing, Buildings and Construction

Heating, Ventilation and Air Conditioning Section – Manufactured Housing Section
Hazardous Materials

Comprehensive Care Centers

Cabinet for Families and Children

Lexington/Fayette Urban County Government

Local Government General Records Retention Schedule

Public Works

Public Libraries and Library Board

Kentucky Higher Education Student Loan Corporation

Transportation Cabinet

Department of Vehicle Regulation – Division of Motor Vehicle Licensing

Department of Veterans’ Affairs – Veterans’ Centers

Before moving to the Public School District Schedule, Nelson introduced Mary Margaret Bell, who is with the Jefferson County Public School Archives.

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Cabinet for Health Services – Office of Aging Services

The series included in this schedule are: 04217, Area Development District Plan File; 04218, State Plan for Programs on Aging File; 04219, Aging Programs Grant and Demonstration Project File; 04220, Assessment/Monitoring Report File; 04221, Disaster Relief Grant Funds File; 04222, Commodity Food Agreement File; 04223, Training Grant File; and 04224, Menus-Nutrition Program for the Elderly File.

The Cabinet for Health Services is the primary state agency for operating the public health, Medicaid, certificate of need and licensure, and mental health/mental retardation programs in the Commonwealth. The function of the Cabinet is to improve the health of all Kentuckians and to improve the functional capabilities and opportunities of Kentuckians with disabilities, including the delivery of population, preventive, reparative and containment health services in a safe and effective fashion. The Cabinet accomplishes its function through direct and contract services for planning through the state health plan and departmental plans, for program operations, for program monitoring and standard setting and for program evaluation and resource management.

The Office of Aging Services serves as the state unit on aging, as required by the Older Americans Act, and as liaison for the area agencies on aging for contract and service provider agreement implementation. The Office administers department grants, programs and initiatives designed to assist older Kentuckians. It also administers the long-term care ombudsman program for Kentucky.

Moses explained that the schedule was last approved in 1993 and that the purpose of the submission was to request a re-issue of the schedule, with a current approval date. All series appearing in the schedule were reevaluated and no changes were made.

Please refer to the last entry for the Cabinet for Health Services for the motion and vote.

Cabinet for Health Services – Office of Certificate of Need

The series being added to the schedule are 05374, Facility File, and 05375, Litigation File. The series being deleted from the schedule are 04080, Audiotapes of Certificate of Need and Licensure Board Meetings, and 04410, Licensure Hearing File – Denied.

The Office of Certificate of Need approves or disapproves certificates of need for establishment of health facilities, obligation of a capital expenditure that exceeds the minimum, substantial change in bed capacity of health facilities, substantial change in a project, acquisition of major medical equipment, alteration of a geographical area or specific location that has been designed on a certificate of need or license, and transfer of an approved certificate of need for establishment of a new health facility or replacement of a licensed facility.

After a brief explanation, Nelson moved to the next schedule.

Please refer to the last entry for the Cabinet for Health Services for the motion and vote.

Cabinet for Health Services – Office of General Counsel

The series being changed are 05376, Litigation File, and 05377, Legal Opinion File. The series being deleted are: 35, Administrative Hearings; 36, Local Health Department Contracts (Duplicate); 37, Administration Contracts; 38, Index Cards on all Suits; 39, Articles of Incorporation (Duplicate); 40, Notice of Creation of Districts (Duplicate); and 42, Open Records Denial (Duplicate).

The Office of General Counsel provides legal advice and assistance to all units of the Cabinet.

Moses said that the major change to this schedule was the reduction in retention of series 05376, Litigation File, from permanent to twelve years. Currently, there are approximately 500 cubic feet of the files stored in the State Records Center.

Please refer to the last entry for the Cabinet for Health Services for the motion and vote.

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Cabinet for Health Services – Office of Inspector General – Division of Audits

The series included in the schedule are 04493, Audit Report File; 04494, Agency Record File; and 04495, Audit Workpapers File.

The Office of Inspector General is responsible for the conduct of audits and investigations for detecting perpetration of fraud or abuse of any program, licensing and regulatory functions, review of health facilities participating in transplant programs, and notification of prosecuting authorities of any criminal violations.

The Division of Audits is responsible for provision of adequate and appropriate audit assistance and investigative services to assure the most efficient use of available resources in the delivery of services to the people of Kentucky. Its duties include conducting comprehensive audits and reviews of all programs in the Cabinet, its grantees, providers, or contractors, to assure compliance with law. It also conducts special audits or investigations of financial affairs at the request of the Secretary and the Inspector General.

As with the Office of Aging Services, Moses said that the three series, which were approved by the Commission in December 1995, had been reevaluated and that no changes had been made. The purpose of the submission was to ask for a re-issue of the schedule with a current approval date.

Please refer to the last entry for the Cabinet for Health Services for the motion and vote.

Cabinet for Health Services – Office of Inspector General – Division of Long Term Care

The series being added to the schedule is 05381, Nurse Aide Abuse and Neglect Investigative File. The series being changed is 05380, Long Term Care Licensure, Certification and Complaint File. The series being deleted are: 388, Complaint Records, now in 05380; 389, Daily Fee Transmittal Sheet; and 390, Fee Record Cards.

The Division of Long Term Care is responsible for surveying to assure compliance with laws and regulations governing licensure and certification of long term care facilities. It also investigates complaints of wrongdoing involving long term care facilities.

Please refer to the last entry for the Cabinet for Health Services for the motion and vote.

Cabinet for Health Services – Office of Inspector General – Division of Special Investigations

The series being added to the schedule are 05378, Medicaid and Welfare Fraud and Abuse Complaint File (previously 46.3), and 05379, Investigation File. The series being changed is 03702, Investigative Case Records (Closed). The series being deleted are: 46.2, Original Police Case Reports; 46.4, Index Systems; 46.5, Logs; and 46.6, Purchased or Seized Property.

The Division of Special Investigations is responsible for carrying out surveillances and investigations related to client or provider fraud or abuse in Cabinet programs, its grantees and contractors. It monitors detection, deterrence and prosecution of the cases and conducts special investigations requested by the Inspector General and the Secretary. It also maintains computer data bases and processing systems on investigations of suspected program fraud and abuse.

There being no discussion, Dr. Morison made a motion to adopt the schedules for the Cabinet for Health Services, seconded by Mr. Haynes. The vote by members and representatives present was unanimous.

Department of Housing, Buildings and Construction – Heating, Ventilation and Air Conditioning Section – Manufactured Housing Section

Moses was the records analyst working on these schedule revisions. The series being added to the schedule are: 05365, Master Contractor License; 05366, Journeyman License File; 05367, Apprentice Registration File; 05368, Consumer Complaint File; 05369, Violation Report File; 05370, Training Agency File; 05371, Training Provider File; 05368, Certified Installer Application File; and 05384, Cease and Desist Order File. The series being changed are: 01452, Application for Certificate of Acceptability; 01460, Retailer License File; 01466, Temporary Recreational Retailer License File; 01471, Consumer Complaint File; and 01472, Installation Inspection File.

The Department of Housing, Buildings and Construction was created in 1978 to facilitate the administration and enforcement of a uniform state building code. The new Department assumed duties and responsibilities previously delegated to several state agencies. A uniform building code was mandated by the 1978 General Assembly, in response to the 1977 tragedy of the Beverly Hills Super Club fire in Northern Kentucky. Prior to 1978, several building codes were used throughout the Commonwealth.

Moses explained that this submission continued efforts to revise the entire schedule for the Department. The first group of revisions was approved during the June 2002 meeting of the Commission.

Dr. Ellis made a motion to adopt the schedule, seconded by Dr. Morison. The vote by members and representatives present was unanimous.

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Comprehensive Care Centers

Carlton was the regional administrator working on this schedule change. The change was to increase the retention of L4795, Patient/Client Health Medical Record Folder, from five years to six, as required by the Health Insurance Portability and Accountability Act (HIPAA).

Each county in the state is served by a Comprehensive Care Center, under the auspices of the regional Mental Health/Mental Retardation Boards. Services are provided to patients for varied mental and substance abuse problems. The centers are administered by boards and receive funds from federal, state and local governments. The services provided are given at no cost to the client or, if appropriate, on an ability-to-pay plan.

There being no discussion, Mr. Coates made a motion to adopt the changes to the schedule, seconded by Dr. Ellis. The vote by members and representatives present was unanimous.

Cabinet for Families and Children – Office of General Counsel

Moses was the records analyst working on this schedule change. The series being changed is 04379, Litigation File.

The Cabinet for Families and Children is the primary state agency responsible for leadership in protecting and promoting the well being of Kentuckians through the delivery of quality human services. The Cabinet delivers social services to promote the safety and security of children and preserve their dignity. It promotes collaboration and accountability among local, public and private programs to improve the lives of families
and children. The Cabinet administers income supplement programs which protect, develop, preserve and maintain families and children in the Commonwealth.

The Office of General Counsel provides legal advice and assistance to all units of the Cabinet.

Moses explained that the proposed change in retention of the series from permanent to twelve years conforms to that proposed for the litigation file in the Cabinet for Health Services.

Dr. Ellis made a motion to adopt the change to the schedule, seconded by Dr. Morison. The vote by members and representatives present was unanimous.

Department of Housing, Buildings and Construction – Hazardous Materials

Moses was the records analyst working on this schedule change. The series being added to the schedule are 05372, Liquefied Petroleum Gas License File, and 05382, Inspection Report File. The series had previously been included in 01487, Hazardous Material Permit File. Since the agency maintains the license and inspection files separately from the permit file, two new series were created.

Moses said that, in addition to the Hazardous Materials section, there are at least two other agencies that have responsibilities in the hazardous materials area. Those are the Cabinet for Natural Resources and Environmental Protection and Emergency Management Services, Department of Military Affairs.

Coates said that there was discussion during the Advisory Meeting about the number of agencies that can have overlapping responsibilities to series that come before the Commission for review and approval. Such a situation could be confusing for researchers who might not be aware of the division of responsibilities across agency lines. Coates said that the suggestion had been made that it would be good to have a cross index of agencies with related responsibilities. Right now, Coates said, staff has that knowledge but that it would be lost when they leave the agency. Nelson agreed it should be pursued, but that the time involved in developing such a document would be the overriding factor.

Dr. Morison made a motion to adopt the changes to the schedule, seconded by Mr. Haynes. The vote by members and representatives present was unanimous.

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Lexington/Fayette Urban County Government – Police Department

Carlton was the regional administrator working on this schedule change. The change was to add series L5253, Warning Notice, and L5254, Search Record, to the schedule.

Carlton advised the members that the same records (warning notice and search record) were also being added to the Local Government schedule identified below.

Please see below for motion and second.

Local Government General Records Retention Schedule – Law Enforcement

The change to add the Warning Notice and Search Record to both schedules was submitted at the December 2002 meeting of the Commission. The decision at that time was to table the changes until the March 2003 meeting so that the proposed retention period of one year could be reevaluated. The issue of profiling was discussed at the December meeting and whether the one-year retention proposed for the records provided an adequate amount of time for researchers to study the subject and to show a pattern of activity.

Based on a suggestion by Morison, Carlton reviewed a report dealing with profiling, which was written in 2001 by Dr. Debra Wilson, University of Louisville, for the Justice Cabinet. In addition, Carlton surveyed states surrounding Kentucky, as well as Missouri, Texas and Oregon. Similar records in those states are maintained for two to three years. Carlton said that there is Kentucky statute that says police agencies in the state should have a policy of some kind which bans actions that could be characterized as profiling on an ethnic, racial, religious, or other basis. According to Carlton, all of the state’s more than 400 law enforcement agencies have adopted such policies. Based on the Wilson report and additional research from other sources, Carlton said that there didn’t appear to be any baseline standard that could be used to prove that profiling had occurred. The Wilson report said that the amount of information available, which covered a one-year period, from approximately twenty-six law enforcement agencies throughout the state, wasn’t sufficient to develop a comprehensive plan. Carlton said that a two-year retention period is being recommended, rather than the one year originally proposed.

Bensenhaver asked if the information to complete the Wilson report was inadequate due to the retention period for the information or inadequate due to the information provided. Carlton said that information from the warning notice and search record was probably not used. The Wilson report is more statistical in nature and did not include information regarding neighborhoods, addresses, etc. One year’s worth of information was all that was requested for inclusion in the report. Information from the two series does go into agency annual reports, according to Carlton. Other series are included in the schedules, such as the Uniform Citation, which have already been approved by the Commission with a two-year retention period, basically provide the same information. Most profiling is based on traffic stops, Carlton said, so records documenting that activity already exist. The use of the two series in question by law enforcement is not necessarily uniform across the state.

Morison said that he still wasn’t sure that the two-year retention was adequate, but that he did not have a suggestion for a longer period. As long as the issue could be re-visited if the need for a longer retention period became evident, then he would agree with the two-year recommended period.

Mr. Coates made a motion to adopt the changes to both schedules, seconded by Dr. Morison. The vote by members and representatives present was unanimous.

An additional change to the Local Government General Records Retention Schedule was made by Jim Cundy. The series being changed are L4682, Juvenile Investigation Case File, and L4683, Juvenile Arrest File/Juvenile Arrest Form. The change was to reduce the retention of the series from “indefinite, destroy when subject reaches 23 years of age,” to “indefinite, destroy when subject reaches 18 years of age, unless litigation is pending.”

Cundy said that the need to change the retention of the series was brought to the attention of staff by the Oldham County Police Department. Generally, juvenile records are destroyed when the subject reaches age 18. The only reason to retain the records beyond that period would be ongoing legal action. Cundy said retaining the records until the subject becomes 23 posed a risk of improper disclosure of information. Access to juvenile records is restricted and can only be released with a court order.

Haynes recounted a case of a young man with a violent juvenile history. If the change in retention were approved, that would mean that information would not have been available with which to pursue further legal action. Cundy said that agencies that accredit law enforcement programs recommend the destruction of juvenile records upon the subjects reaching the age of 18. Based on a question from Belding, Cundy said that he did not have with him the name of the accrediting agency Oldham County had referred to.

After additional discussion, Nelson recommended that the change to the schedule be tabled until the June meeting of the Commission, so the issue could be further studied. All members and representatives present agreed with the recommendation.

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Local Government General Records Retention Schedule – Public Works

Cundy was the regional administrator working on this schedule change. The series being added to the schedule are L5331, Sales and Use Tax Return, and L5332, Kentucky Pollutant Discharge Elimination System (KPDES) Permit, to the schedule.

Cundy said the need to change the schedule was brought to the attention of staff by the City of Simpsonville. The first series represents documentation of sales and use tax received by a local public works agency, for the purpose of taxpayer reimbursement. The
Revenue Cabinet maintains the record copy. The second series involves permits issued
by the Natural Resources and Environmental Protection Cabinet to set limits on pollutants discharged by wastewater treatment plants.

Mr. Coates made a motion to adopt the change to the schedule, seconded by Dr. Ellis. The vote by members and representatives present was unanimous.

Public Libraries and Library Board

Cundy was the regional administrator working on this schedule change. The change was to add series L5333, Reference Transaction Record, and series L5334, Public Internet Workstation Reservation Record, to the schedule. The disposition for both records is to destroy when no longer useful.

Cundy said the need to change the schedule came to the attention of staff by the Lexington Public Library. The first series represents hard copies of reference requests received by library staff in the Reference Department. The second series represents reservation information for patrons utilizing public computers to access the Internet at the library.

During the Advisory Meeting, a question was raised in regard to the reference transaction record and the USA Patriot Act. Cundy said that the Act did not specify a period of time such records needed to be retained, just that they be available for review, in the event of an investigation or other legal action.

Mr. Coates made a motion to adopt the change to the schedule, seconded by Dr. Ellis. The vote by members and representatives present was unanimous.

Kentucky Higher Education Student Loan Corporation

Moses was the records analyst working on this schedule change. The series being changed are: 04892, Tuition Loan System (TUIT); 04927, Loan Origination File; 04929, Disbursement Adjustment File; 04930, Disbursement Query File; 04931, Disbursement Cancellation File; 04932, Status Change Report File; 04933, School/Lender Correspondence File; 04945, Correction of Error Forms File; and 04964, Loan Consolidation File.

Dr Ellis made a motion to adopt the changes to the schedule, seconded by Dr. Morison. The vote by members and representatives present was unanimous.

Transportation Cabinet – Department of Vehicle Regulation – Division of Motor Vehicle Licensing

Moses was the records analyst working on this schedule change. The series being changed are: 03945, Title Application File, from 50 years to 15; 03478, Title Application File for Rebuilt Motor Vehicles, from 20 years to 15; 03479, Application for Motor or Vehicle Identification Number, from 20 years to 15; 03480, Authorization for Removal and Reattachment of Vehicle Identification Number, from 20 years to 15; and 03947, Certificate of Registration, from three years and one month to two years.

The Department performs all activities relating to the licensing of motor vehicles and drivers in the Commonwealth.

The Division of Motor Vehicle Licensing provides the state’s county court clerks with license plates and forms for the registration and licensing of motor vehicles and trailers. The Division maintains the Automated Vehicle Information System (AVIS) and the state’s centralized vehicle title functions.

After an explanation by Moses, Mr. Coates made a motion to adopt the changes to the schedule, seconded by Dr. Morison. The vote by members and representatives present was unanimous.

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Department of Veterans’ Affairs – Veterans’ Centers

Moses was the records analyst working on this schedule change. The series being changed are 04603, Medical Record File; 04605, Quality Assessment Report File; and 04608, In-Service Education Record File. In all cases, the retention is being increased from five years to six, as required by the Health Insurance Portability and Accountability Act.

The Bureau of Veterans’ Affairs was created in 1972. In 1974, the Bureau became the Advisory Board for Veterans’ Affairs and the Department for Human Resources assumed some duties. In 1980, the Center for Veterans’ Affairs was created in the Department for Military Affairs and assumed the duties that had been assigned to the Cabinet for Human Resources. In 1996, the Center was merged into the newly created Department of Veterans’ Affairs.

The Department provides assistance and support to the citizens of the Commonwealth who are veterans of the military services, their families, dependents, and/or survivors, in the presentation, proof and establishment of all claims, privileges, rights and other benefits they may have under state, federal or local law. It collects data and information regarding facilities and services available to veterans, their families and dependents.

The Office of Kentucky Veterans’ Centers is responsible for operating the state veterans’ nursing homes, a responsibility transferred to it from the Finance and Administration Cabinet. The three centers are located in Wilmore, Hansen and Hazard, Kentucky.

Dr. Morison made a motion to adopt the changes to the schedule, seconded by Dr. Ellis. The vote by members and representatives present was unanimous.

The next item was Other Business. Nelson informed the Commission members that there would be an event July 11, 2003, at the Department, to celebrate Dr. Thomas D. Clark’s 100th birthday. The event will also recognize the 20th anniversary of the creation of the Friends of Kentucky Public Archives, Inc., the 30th anniversary of the signing of an Executive Order which joined library and public records functions in one agency, and the 1958 passage of the State Archives and Records Act. Former Governor Wendell Ford, who signed the Executive Order in 1973 to create the Department for Library and Archives, is to be invited to attend.

Nelson advised the Commission members that the Department had had a 2.6% reduction in the budget for each year of the 2002/2004 biennium. The most serious problem at the present time is not being able to fill vacant positions, due to a hiring freeze, Nelson said.

Related to legislative matters, Nelson informed the Commission members of the passage of HB 376, which amended KRS 171.303, relating to library science scholarships, to permit out-of-state students who agree to work in a library or archival services program within the Commonwealth to apply for a scholarship, upon graduation.

Belding then discussed the Legislative Tracking document for the 2003 session of the General Assembly, which had been distributed to the members. The document had not been finalized, Belding said, as it won’t be known for a few days which bills that passed both houses would be signed into law by the Governor. The Department has been tracking legislation since 1996, specifically that legislation that has a records management impact, and which could require actions such as the creation or revision of retention schedules.

The next item of business was a discussion of the Guidelines for Managing E-Mail in Kentucky State Government. The Commission members were forwarded a copy of the guidelines document and the accompanying standard for their review and consideration at the December 2002 meeting. The Enterprise Standard 4060 – Recordkeeping – Electronic Mail, which will be issued by the Governor’s Office for Technology (GOT), is a complementary document to the guidelines. The standards document, which is still under review by GOT, is an expression of direction and intent that agencies are required to comply with. The guidelines document provides options that are available to agencies to assist them in meeting their obligations under the State Archives and Records Act, the state’s public records laws. The guidelines are intended to give agencies the flexibility to respond to their records management obligations in a manner that most suits their particular environments.

Glen McAninch, Manager, Technology Analysis and Support Branch, and Mark Myers, Electronic Records Specialist, updated Commission members on the status of the documents, since they were distributed in December. Myers explained that the guidelines were developed in coordination with the Electronic Records Working Group (ERWG). ERWG is made up of representatives from GOT, the State Auditor’s Office, the Office of the Attorney General, and the Department. One of the purposes of the guidelines is to make agencies aware that the volume of e-mail is steadily increasing and that the administration of the system by GOT is becoming more and more complex. Myers said that while the majority of e-mail is transitory and can be deleted shortly after receipt, there are significant records being created and transmitted through e-mail that require longer retention periods. It is important to deal promptly with the messages that have very short-term value, while at the same time capturing those messages that have longer term value. The document provides best practices and guidelines that will follow the Enterprise Standard – 4060, referenced above. Although the guidelines are specific to Microsoft Outlook Exchange, which is the environment within which Executive Branch agencies operate, Myers said that the same records management principles would apply for local agencies and state agencies, such as the universities and those not within the Executive Branch, that are not required to follow state architecture standards. A separate document will be drafted in the near future for local government agencies and others that do not follow the state’s architecture standards. Although it would contain many of the same records management requirements, it would not be geared specifically to the Microsoft Outlook environment.

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Myers said that there had been some changes to the guidelines, due to further review by state agency records officers, legal counsels, and chief information officers. It was also reviewed by the Advisory Committee on University Records, as well as a few local officials. Most of the changes have been to further clarify the existing language. After approval of the standard by the Architecture and Standards Committee, the guidelines will be published and made available through the Department’s website.

Dr. Morison asked when the standard is expected to be approved. Robb said that GOT works with other agencies to develop and implement the “enterprise” architecture. The Standards Committee meets on an ad hoc basis, but Robb believes the standard would be approved by the June meeting of the Commission. Morison commended the staff for their work in creating an excellent guidelines document. To underscore the importance of both documents, Robb said that when the guidelines document was first being drafted, the e-mail volume was 55 million messages per month. It is now over 100 million.

In addition to the e-mail guidelines, Myers said that ERWG was also working on developing a “databases as public records” document. A similar document, which addresses how agencies are supposed to respond to open records requests for information contained in databases, was produced by the Ohio Historical Society electronic records working group. ERWG is reviewing the Ohio document to determine its applicability to Kentucky and its open records and public records laws. The group will work closely with the Attorney General’s Office to ensure that open records issues are properly addressed. Currently, there is some confusion under the law as to how requests for databases should be processed. The guidelines are intended to simplify and clarify the request process.

In addition to Myers, Belding expressed his appreciation to Amye Bensenhaver, Brian Lykins, who is representing the State Auditor’s Office, and Charles Robb, as well as Doug Robinson, Cam Cantrell and Stephen Dooley, who are with the Governor’s Office for Technology, for their participation in addressing the very challenging issues involved in the management of electronic records.

Belding informed the Commission members of the restriction in the budget bill related to any changes in leases, such as lease additions or amendments, which is in effect until June 30, 2004. Belding said that on an annual or every other year basis, the Department has experienced some expansion in its lease capacity for the State Records Center, to respond to state agency demands for off-site storage of records. Belding said he was not sure, at this point, whether there would be any contingencies under which exceptions to the restriction might be made. The steady growth of the Center and the continuing need for additional space is of concern in the current fiscal environment. The opportunity to review series that may be appropriate for shorter retention periods and quicker disposition, which was the case with some of the records reviewed by the Commission at this meeting, Belding said, frees up storage space at the Center, thereby forestalling the need for a lease expansion.

Myers said that staff is still working on the implementation of the General Schedule for Electronic and Related Records, which was approved by the Commission at its June 2002 meeting. Myers met with the Bowling Green City Clerk to discuss implementation of the schedule, and has also had conversations with Ms. Bell about the applicability of the schedule to the Jefferson County Public Schools. Several state agencies also have been targeted for the development of possible pilot projects related to implementation. Staff is also working on the development of modules to train agency personnel in the use of the schedule, as well as implementation of the e-mail guidelines.

Myers informed the Commission members of the electronic records management training session he conducted at the recently held County Clerk’s Conference. More such presentations are being planned with local government officials. Carlton said that he was working to schedule workshops on electronic records management with school districts across the state.

After a brief break, Nelson moved to consideration of Local Records grants. Carlton complimented Sunnye Smith, Grants and Contracts Specialist, for her work in preparing the grant packets distributed to the Commission members. Carlton said that the grants being submitted were based on a possible reduction of funds, due to the current budget situation, of up to $138,000. The amount of funds this cycle was based on is $411,400. If funds are available, grants denied this cycle would be considered in June. The packet indicated that the amount being recommended for grants this cycle was $589,045. Carlton said that the actual amount being recommended was $392,801, as Bullitt County withdrew its request. The request for the grant will be submitted in June.

Carlton said that the majority of the grants submitted (totaling $175,449) were for the microfilming of records of continuing value retained in county clerk offices. Related to Knox County’s request for the purchase and installation of mobile shelving, Coates said that approximately $30,000 worth of standard shelving was being re-distributed throughout the Southern Region, which shows a great deal of initiative on the part of staff. The regional administrator for the Southern Region is Larry Barnett. Nelson said that many county clerks have relayed to him the importance of the grant program, but that what they most depend on is the one-on-one relationship that they have with the regional administrators and how much they depend on their knowledge and expertise in dealing with records management issues. Coates said that to be able to meet the needs of so many of the local government offices, especially within the limitations of the program, was remarkable. In a related aside, Carlton said that seven workshops had been scheduled throughout the state to provide records management training. Staff has coordinated the workshops with local Area Development District Offices.

Mr. Coates made a motion to recommend the grants to Commissioner Nelson for his approval, seconded by Dr. Ellis. The vote by members and representatives present was unanimous.

There being no further business, Nelson adjourned the meeting at 11:41 a.m.

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