Office of the Secretary of State - Kentucky

Office of the Secretary of State

Records Retention Schedule

Prepared by the State Records Branch Archives and Records Management Division Approved by the State Libraries, Archives, and Records Commission

This records retention schedule governs retention and disposal of records created, used and maintained by the Office of the Secretary of State. Government records in Kentucky can only be disposed of with the approval of the State Archives and Records Commission (the Commission). If records do not appear on a Commission-approved records retention schedule, agencies should not destroy those records. This agency-specific schedule was drafted by Secretary of State personnel and Archives and Records Management Division staff, and reviewed and approved by the Commission. This schedule provides the legal authority for the Office of the Secretary of State to destroy the records listed, after the appropriate retention periods have passed.

Secretary of State personnel should use this agency-specific schedule in combination with the General Schedule for State Agencies (General Schedule), also approved by the Commission. The General Schedule applies to records that are created, used and maintained by staff at all or most state agencies. Agency-specific retention schedules are used only by specific agencies and apply to records that are created only by a particular state agency, or to records that a state agency is required to retain longer than the approved time period on the General Schedule. The General Schedule and agency-specific retention schedule should cover all records for Office of the Secretary of State.

This retention schedule applies to state agency records and information regardless of how it is created or stored. For example, information created and sent using e-mail is as much a public record as materials created or maintained in paper. Kentucky law defines public records, in part, as "documentary materials, regardless of physical form or characteristics, which are prepared, owned, used, in the possession of or retained by a public agency" (KRS 171.410[1]). This means that records management standards and principles apply to all forms of recorded information, from creation to final disposition, regardless of the medium. Records retention scheduling is important in developing, using, and managing computer systems and other electronic devices. Records management practices encourage cost-effective use of electronic media through accurate retention scheduling and legal destruction of records.

All state government employees are responsible for maintaining records according to the retention schedule, whether those records are stored electronically or in paper. Information must be accessible to the appropriate parties until all legal, fiscal, and administrative retention periods are met, regardless of the records storage medium.

This retention schedule covers the content of records created by Office of the Secretary of State, including records created or stored using computers and computer systems. The General Schedule for Electronic and Related Records applies to records related to computers or a computer system. Examples of these include system documentation and use records, backup files, or website format and control records.

Audits and Legal Action Agency records may be subject to fiscal, compliance or procedural audit. If an agency should maintain records longer than the approved retention period, as may be the case with some federal audits, then all affected records should be retained until the audit has been completed and the retention period met. In no case should records that are subject to audit be destroyed until the audit has been completed and retention periods met, or the records have been officially exempt from any audit requirements.

Records may also be involved in legal or investigative actions, such as lawsuits, administrative hearings or open records matters. These records must be retained at least until all legal or

investigative matters have concluded, regardless of retention period. This includes all appeals of lawsuits.

Vital Records Vital records are essential to the continued functioning of an agency during and after an emergency. Vital records are also essential to the protection of the rights and interests of an agency and of the individuals for whose rights and interests it has a responsibility. Vital records are identified in the retention schedule with a (V).

Confidential Records While all records created, used and maintained by government agency personnel are public records, not all of those records are open to public inspection. Whether a record is open to public inspection is determined by the state's Open Records laws and other relevant state or federal statutes and regulations. Restriction of public inspection of confidential records may apply to the whole record or only to certain information contained in the record.

Kentucky's public records are considered open for public inspection unless there is some specific law or regulation that exempts them. Agency personnel who believe certain records are confidential should submit a citation from Kentucky Revised Statutes, Administrative Regulations, Code of Federal Regulations, or similar authority. State agency heads have the responsibility to know all the appropriate confidentiality laws, statutes and regulations that apply to the records maintained by their agency and to see that those laws are enforced. Even though a record series may or may not be marked confidential on a retention schedule, contradictory laws or regulations that are passed after the schedule has been approved must be honored.

Copies of Records Agency personnel often make copies of records for internal use or reference purposes. Agencies should designate one copy as the official copy and make sure it is retained according to the records retention schedule. Agencies can destroy all other copies when no longer useful.

Updating the Retention Schedule Per 725 KAR 1:010, the head of each state government agency is required to designate a member of his or her staff to serves as a records officer. The agency records officer represent that agency in its records-related work with the Archives and Records Management Division. The agency records officer is responsible for assisting the Archives and Records Management Division in drafting a records retention schedule, and in finding any schedule updates to bring before the Commission. The retention schedule should be reviewed on a regular basis to suggest appropriate changes to the Commission.

Secretary of State

The Secretary of State was created by the Kentucky Constitution in 1792. On September 28, 1891, the Office of Secretary of State changed from an officeholder appointed by the Governor to an elected official.

The Secretary of State directs the Department of State of the Commonwealth of Kentucky pursuant to provisions KRS Chapter 14. Duties include attesting the official acts of the Governor.

The Office is organized into two divisions: Division of Corporations and Division of Administration. The Division of Administration is responsible for fiscal and personnel matters, public documents, legal affairs and special projects and commissions. The Division of Corporations shall be responsible for all functions relating to corporations.

STATE ARCHIVES AND RECORDS COMMISSION Archives and Records Management Division

Kentucky Department for Libraries and Archives

Schedule Date: 06/10/2010

STATE AGENCY RECORDS RETENTION SCHEDULE

Records Title Series and Description Function and Use

Secretary of State

Record Group Number

2600

06476 Secretary of State's Website

This series is a snapshot of the Office of the Secretary of State's website. The website functions as a central communication, outreach, and documentation tool for the Office. The website provides online public access to information about the Office's activities and allows the public to contact the Office by email, use online forms to apply for and submit material, and search records held by the Office. It makes multiple records available in a central location. Some of these records may be listed on the Office's records retention schedule, or the General Schedule for State Agencies, and may be transferred to the State Archives in different formats than those found online the website. The website may contain the original version of these records series or duplicate copies.

Access Restrictions Contents

Retention and Disposition

The website also connects to the social media sites of the Office, allowing wider public notification of its activities.

None

Series may contain: Secretary's biography; organizational information and structure of the Secretary of State's office; speeches; press releases; photos; and audio and video recordings. The website also contains a variety of files and scripts that allow for the website to function. These are covered by the series: Website Format and Control Records (E0058)

Through arrangement with the Office of Secretary of State, KDLA will take periodic snapshots of the website at various times during the term of each Secretary of State, including the beginning and ending of each four-year term and any significant changes made to the overall website. Snapshots will be retained permanently.

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STATE ARCHIVES AND RECORDS COMMISSION Archives and Records Management Division

Kentucky Department for Libraries and Archives

STATE AGENCY RECORDS RETENTION SCHEDULE

Records Title Series and Description Function and Use

Secretary of State Administrative Services

Record Group Number

2600A

03110 Summons File (V)

Access Restrictions Contents

Retention and Disposition

This series documents the appointment of the Secretary of State to act as the agent for the acceptance of service of process in any civil action for any employing unit which is not a resident of Kentucky, and which exercises the privilege of having one or more individuals perform services in the state, and any resident employing unit which subsequently moves from the state, as required in KRS 341.305. When actions are instituted, all processes or notices (summons) are filed with the Secretary of State and have the same force and validity as if served within the state. To validate the action, the Secretary must send notice of the service of such process by certified mail to the employing unit. The return receipt and a copy of the notice of service is then appended to the original of the process filed in the court in which the action is pending. This series combines the Summons and Complaint on Cases Brought by Kentucky Division of Unemployment Insurance (SN 03112) and Notice of Preliminary Hearing-Natural Resources and Environmental Protection Cabinet (SN 03113). KRS 454.210 is the primary statute supporting the need for this process, which is also referred to as the "long arm of the law." *The agency handles nearly 17,000 per year.

None

Series contains: Case number; summons - defendant's name; date put in mail; date received; certified mail receipt; notice of service; date mailed back to the respective court.

Retain in Agency and destroy six(6) months from date of Memorandum Return to Court or No Response Letter

03111 Hague Convention Summons File (V)

Access Restrictions Contents

Retention and Disposition

This series documents the appointment of the Secretary of State to act as agent for the acceptance of service of process in civil actions against nonresident employing units that are filed through the federal government to international countries that are participants in the Hague Agreement. These actions are supported under the terms of federal law, specifically the Hague Service Convention-28 U.S.C.A., Rule 4(i), Federal Rules of Civil Procedure. This series functions much the same way as series 03110, Summons File, for actions occurring in the United States.

None

Series contains: Summons (both English and foreign language translation); complaint and/or accompanying documents (both languages); request for service abroad (Federal Form OBD-116); completed certificate from receiving authority (if any); copy of registered mail return receipt card or undelivered letter (if any); return to court letter

Retain in Agency and destroy one (1) year from date of Memorandum Return to Court or No Response Letter

04554

$50,000,000 Commonwealth of Kentucky General Obligation Highway Bonds - (Dated July 1, 1961) - (One notebook, transcript of proceedings)

Closed Series: This series appears to document the issuance of state highway bonds. Since it cannot be located, little more is known about it. Current office staff are not familiar with the creation of this record.

Access Restrictions None

Contents Unknown

Retention and Disposition Transfer to the State Archives Center

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STATE ARCHIVES AND RECORDS COMMISSION Archives and Records Management Division

Kentucky Department for Libraries and Archives

STATE AGENCY RECORDS RETENTION SCHEDULE

Records Title Series and Description Function and Use

Secretary of State Administrative Services

Record Group Number

2600G

04555

Kentucky National Emergency Special Police Book Index (1943-1945)

Access Restrictions

Contents

Closed Series: This series indexes the special police certification file. Special law enforcement officers' duties extend to the protection of specific public properties, such as the state Capitol building and grounds, public schools, public airports, etc. The commissioning of special police is now the responsibility of the Justice Cabinet.

None Series contains: Index

Retention and Disposition Transfer to the State Archives Center

04556 Agency Receipt Books - (1909-1953) Access Restrictions Contents

Retention and Disposition

Closed Series: This series documented the recording of agency financial transactions.

None See archival listing - Public Records Central File Transfer to the State Archives Center

04557 Oath of Office Certification File

Access Restrictions Contents

Retention and Disposition

This series documents the certification that oaths of office have been administered. The certification statement is completed by the individual administering the oath and is then filed with the Secretary of State, as required in Senate Bill 86, which was passed into law during the 1996 Regular Session of the General Assembly. Certifications of administered oaths are applicable to: members of the General Assembly; an officer elected from the state-at-large; an officer elected from a district greater than one county or a city whose boundaries extend beyond one county; an officer appointed as cabinet secretary; an officer appointed as a deputy/assistant to an elected constitutional officer; Secretary of State and his assistant; county clerks; and countywide elected officials. Previously, the series was applicable to the swearing in of members of boards and commissions. *Early in the history of the Office, notarized statements attesting to the swearing in of key officials were filed with the Secretary of State. Some statements may exist from the early period, however, the specific amount is not known.

None

Series contains: Statements of certifications of oaths of office

Retain in Agency four (4) years after the end of the gubernatorial term; transfer to State Archives Center for permanent retention.

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