County Treasurer Retention Schedule
Local Government General Records Schedule
The State Archives and Records Commission met September 12, 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. Jack D. Ellis, representing Citizens-at-Large.
Representatives present: Louis DeLuca, representing Dr. Marlene M. Helm, Secretary, Education, Arts and Humanities Cabinet; Amye Bensenhaver, representing A. B. Chandler, III, Attorney General; C. J. Chapman, representing Aldona K. Valicenti, Chief Information Officer, Governor's Office for Technology; Brandon Haynes, representing Joseph E. Lambert, Chief Justice, Supreme Court; Leslie Smith, representing Robert Sherman, Director, Legislative Research Commission; and Geoff Pinkerton, representing Dr. James R. Ramsey, State Budget Director, Governor's Office for Policy and Management.
Members not present or represented: Cheryl Jones, representing Citizens-at-Large; Lynne Hollingsworth, representing the Kentucky Historical Society; Shelia E. Heflin, representing the Kentucky Library Association; and Dr. Linda E. Johnson, representing Citizens-at-Large.
Public Records Division staff present: Richard N. Belding, Director, Public Records Division; Jerry Carlton, Manager, Local Records Branch; Barbara Teague, Manager, Archival Services Branch; Glen McAninch, Manager, Technology Analysis and Support Branch; Jim Cundy, Regional Administrator; Mark Myers, Resource Management Analyst; Emma Hignite, Automation Consultant; Michele Staton, Administrative Specialist; and B. J. Webster, Administrative Secretary.
Guests present: No guests were present.
Nelson called for introductions by those present.
Dr. Ellis made a motion to accept the minutes of the previous Commission meeting, seconded by Dr. Morison. The vote by members and representatives present to accept the minutes of the previous Commission meeting was unanimous.
Return to TopNEW OR REVISED RECORDS RETENTION SCHEDULES
County Treasurer Retention Schedule
Jim Cundy was the regional administrator working on this revised schedule. The schedule contains sixteen series: L5228, which is an addition to the schedule; and series L1600, L1608, L1610 to L1614, L1616, L1630 to L1633, L1644, L1652 and L1654.
The submission represents a revision of the schedule, which was initially approved in 1987. The schedule was purged of series duplicated in the Local Government General Records Schedule, and several series were combined. Cundy pointed out that the permanent records, such as Annual Reports, Budgets, Minutes, etc. are covered under the General Schedule, rather than the schedule for the Treasurer.
The Office of County Treasurer did not come into existence until 1893. Prior to that time, the county clerks and the circuit courts received money from the various collecting officials and accounted for such sums. An act, approved February 27, 1893, provided for the creation and regulation of the Office of County Treasurer. The treasurer is required to keep an office at the county seat for the collection of money, and to hold books open for inspection by the Fiscal Court and taxpayers.
The treasurer receives all moneys due the county from collecting officers, which are held subject to the order of the Fiscal Court; institutes actions in the county's name, when directed by the Fiscal Court, against delinquent sheriffs or collectors for the counties; keeps an accurate set of books, showing receipts and disbursements in separate and distinct accounts; balances books; keeps a record of suits filed by or for the county. The treasurer reports to the County Judge, in writing, all money paid; settles accounts whenever required by the Fiscal Court, and makes a complete settlement each April; receives from the sheriff or other collecting agents money collected for the county and submits all settlements for approval by the Fiscal Court. The settlements are recorded by the County Clerk in a book kept for that purpose, with the original to be filed at the county clerk's office and preserved as a record of the Fiscal Court.
Dr. Morison made a motion to adopt the revised schedule, seconded by Dr. Ellis. The vote by members and representatives present to adopt the schedule was unanimous.
Local Government General Records Schedule - Public Safety - Law Enforcement
Jerry Carlton was the regional administrator working on these changes. The
first submission was to change the retention period for L4680, Complaint and
Offense Report (Incident Reports), from "indefinite, destroy when no longer
useful" to
three years and destroy." The need to change the retention of the
series came to the attention of staff as a result of an open records appeal to
the Attorney General's Office. A city in Northern Kentucky was not able to
produce a report upon request and an appeal was filed.
Dr. Ellis made a motion to adopt the change, seconded by Dr. Morison. The vote by members and representatives present to adopt the schedule was unanimous.
The second submission was to add series L5229, Video/Audio Recordings (Patrol Cars), and L5230, Video/Audio Recording Log, to the schedule. L5229 documents recordings made during traffic stops, accident investigations, DUI violations, traffic violations, criminal activity, or any other stops made by police officers. L5230 represents a listing of the videotapes and audiotapes turned in by the officers, showing time of stop, name of officer, date and content.
Dr. Clark made a motion to adopt the second change, seconded by Dr. Morison. The vote by members and representatives present to adopt the schedule was unanimous.
City of Louisville - Division of Police - Internal Affairs
Cundy was the regional administrator working on this schedule change. The series being changed are 444, Card File of Complaints; 445, Card File of Officers; and L5231, Complaints/Internal Investigation File. The retention of the three series is being changed to "destroy three years after termination of employment." The changes bring the schedule for the City of Louisville Police Department into uniformity with all other law enforcement schedules.
Mr. Coates made a motion to adopt the revised schedule, seconded by Dr. Ellis. The vote by members and representatives present to adopt the schedule was unanimous.
Before moving into Other Business, Belding asked Carlton to comment about the status of revision of local government schedules. Carlton said that with the approval of the revision of the schedule for the County Treasurer, all schedules were current, except for the Public School District Model. That schedule will be revised and presented for approval at a later date.
Nelson then updated the Commission members on KDLA's presentation to the Capital Planning Advisory Board. The Board held its September meeting at the Department, which provided an opportunity for staff to update the members on the progress of the capital projects, including the Document Management Digitization System (DMDS), undertaken by the Department. A tour of the facility followed at the end of the meeting. Nelson said that it was his impression that the members learned more about the agency and that the need for an addition to the Coffee Tree facility was not just a KDLA issue, but a state issue.
In response to a question from Dr. Clark, Belding said that the need for the addition had already been well described, so that part would not require updating. What would have to occur each budget cycle would be an update of the cost to construct the addition. Capital planning submissions for the next biennial budget will be due April 15, 2003.
Belding informed the Commission members of the upcoming Kentucky Archives Week, which is experiencing its inaugural celebration October 6-12, 2002. Governor Patton will be issuing a proclamation September 30th, declaring that week as the official Archives Week. Starting in the early 1990s, Belding said a number of archival professional associations, regional groups and states began a process of designating a specific time of the year to try to increase public understanding of and support for the archival function in their particular geographic areas. New York City's Metropolitan Archives Roundtable was the first of these and a number of other states have followed suit. Belding said that discussions about having a Kentucky celebration had occurred over the past couple of years and the first event is scheduled to occur this year.
The theme of Kentucky Archives Week is "Our Past Deserves a Future." Many archival institutions across the state are planning various events, such as open houses, workshops and exhibits of various types. Kentucky Archives Week is sponsored by the Kentucky Council on Archives, the Kentucky State Historical Records Advisory Board, and the Department. The Archives Week Coordinating Committee is being led by Barbara Teague, Manager of the Archival Services Branch, aided by Jim Cundy, who is the current Chair of the Kentucky Council on Archives, and who is a regional administrator in the Department's Local Records Branch.
During the same week, on the afternoon of October 8th, the Department will be celebrating the 20th anniversary of the opening of Clark-Cooper Building, its main office facility in Frankfort. There will be a ceremony and a reception. Speakers at the ceremony will include Dr. Lewis J. Ballardo, Deputy Archivist of the United States and Kentucky State Archivist from 1980 to 1986, and the Deputy Director of the Institute of Museum and Library Services, Mary Chute. Dr. Thomas D. Clark and C. Vernon Cooper, long-time supporters of the libraries and archives and for whom the building is named, have also been invited to be part of the program.
Belding informed the Commission members that the Electronic Records Working Group has met monthly, from May to August 2002. The informal interagency group is comprised of staff from the Department, the Governor's Office for Technology, the Office of the Attorney General, and the Office of the Auditor of Public Accounts. Among the issues the group is currently working on are e-mail management guidelines, use of encryption technology for electronic signatures, and the evaluation of records management software. At its first meeting, the group reviewed the newly revised General Schedule for Electronic and Related Records that was subsequently approved by the Commission in June 2002.
The Document Management Digitization System (DMDS) has allowed the Department to build on its document format conversion capacity by expanding it to include a broader array of means to convert paper documents and microfilm to a digital format. DMDS is progressing, and the installation of equipment in the area staff will occupy has begun. It is expected that a tour of the facility will be conducted for the Commission members in December.
The next item of business was an update on Find-It! Kentucky, the Government Information Locator Service (GILS) provided by the Department, which recently began offering a new search device for individual agencies. Agencies may use the Find-It! Software to search their individual web pages. Using the search will save government agencies money, as they will not have to purchase searching software. Several agencies are now using Find-It! software successfully.
Cundy announced that, in conjunction with Kentucky Archives Week, an award will be presented to that individual or institution that has made a significant contribution to the development of archives in the state. The first award will be made to Dr. Clark, Historian Laureate of Kentucky and member of the Commission, at the fall meeting of the Kentucky Council on Archives, on October 4, 2002. The award will hereafter bear his name.
There being no further business, Nelson adjourned the meeting at 11:15 a.m.
Page last revised on December 18, 2002
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