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Retention requirements
for government records operate in tandem with freedom
of information statutes, which typically deal only
with the public's access to existing records. When
records are discarded, they obviously are no longer
available for public scrutiny.
The widespread use of
e-mail and other, often ephemeral electronic records
has underscored the significance of retention policy.
It is estimated that ninety percent of documents created
today are in electronic form, of which only thirty
percent will be printed.1
Since 2001, Arkansas
has not had a generally applicable record retention
statute.2 Although the state's Freedom
of Information Act3 gives citizens the
right to inspect and obtain copies of public records
in any medium,4 it does not, except in
narrow circumstances, require that records be kept.5
Scattered statutory provisions address the retention
and disposition of certain records at the state and
local levels.6
Near the end of its
regular session in 2003, the General Assembly passed
a bill that would have required the state's Executive
Chief Information Officer (ECIO)7 to develop
retention requirements for most state agencies.8
These regulations were to apply to "public records
of more than transitory value."9 Governor
Mike Huckabee described the bill as "laudable"
but vetoed it as "an onerous unfunded mandate"
at a time of "fiscal distress" in state
government.10
Subsequently, the Governor
charged the ECIO with (1) developing a retention schedule
for state agency records, regardless of medium, and
(2) establishing electronic record management standards
and guidelines. As permitted by statute,11
the ECIO established a working group to consider these
matters. The group includes representatives from state
government, the news media, and the legal community.
Among the lawyers involved are Rep. Jodie Mahony,
who sponsored the 2003 bill, Professor Rick Peltz
of the UALR law school, Debby Nye, Scotty Shively,
Mac Norton, and David Ivers.
Under existing law,
the ECIO has authority to develop "standards,
policies, and guidelines" for information technology,
including "retention schedules for control, preservation,
protection, and disposition of the electronic records
of [state] agencies."12 Legislative
action is necessary with respect to records in other
media.
The General Assembly
might, for example, broaden the statutory language
quoted above, craft a bill outlining a basic retention
policy but leaving the details to the EOIC or another
state official or department,13 or enact
specific retention requirements based on the working
group's recommendations. In addition, existing statutes
should be examined to ensure that they mesh with the
new retention regime.14
As of this writing,
the working group is finalizing a "general record
inventory" consisting of administrative, fiscal,
legal, and personnel records that state agencies create
and receive in the ordinary course of business. The
group will then develop a retention schedule for each
record in the inventory.15
Fashioning a record
retention policy is a daunting task, particularly
with respect to information in electronic form, and
implementation will not be easy. As the Archivist
of the United States has observed, "electronic
records pose the biggest challenge ever to recordkeeping
in the Federal Government and elsewhere."16
Endnotes
1. See Patricia Nieuwenhuizen, E-Mail: The
Smoking Gun of the Future, National Law
Journal (Dec. 11, 2000), at B9; Corinne L. Giacobbe,
Allocating Discovery Costs
in the Computer Age: Deciding Who Should Bear the
Costs of Discovery of Electronically
Stored Data, 57 Wash. & Lee L. Rev. 257 (2000).
2. Act 1252 of 2001 repealed the State Records Management
and Archives Act of 1995,
previously codified at Ark. Code Ann. §§
13-4-101 to -112 (Supp. 1995).
The 1995 legislation replaced retention provisions
adopted in 1973 and revised
in 1987. See Ark. Code Ann. §§ 13-4-101
to 110 (1987).
3. Ark. Code Ann. §§ 25-19-101 et seq.
4. Id. §§ 25-19-103(5)(A), 25-19-105(a)(2)(A).
5. See McMahan v. Board of Trustees, 255 Ark.
108, 499 S.W.2d 56 (1973); Ark. Op.
Att'y Gen. Nos. 2000-220, 97-030. An agency's alteration
or destruction of records
after receipt of a proper request for them would be
a denial of access and, therefore,
a violation of the Arkansas FOIA. See Hengel v. City
of Pine Bluff, 307 Ark. 457,
821 S.W.2d 761 (1991). Moreover, an agency cannot
transfer records elsewhere
to avoid disclosure or allow a person who has submitted
a record to withdraw it after a FOIA request has been
made. Ark. Op. Att'y Gen.
Nos. 2002-228, 93-263.
6. E.g., Ark. Code Ann. §§ 7-9-123
(petitions and other records concerning initiated
acts and constitutional amendments); 13-4-301 to -308
(county records), 14-59-114
& 14-237-112 (municipal accounting records); 19-4-815
& 19-4-1108 (financial
records of state agencies); 23-46-211 (records of
State Bank Department); 23-61-107
(records of State Insurance Commissioner). By order,
the Supreme Court has established a retention schedule
for its records and those
of the Court of Appeals. See Ark. S. Ct. Admin. Order
No. 7.
7. The ECIO position was created in 2001, in large
part to facilitate implementation
of online "e-government" services. See
Act1042 of 2001, codified
at Ark. Code Ann. §§ 25-33-102 to -107 (Repl.
2002).
8. H.B. 2681 (84th General Assembly, 2003). Regulations
adopted pursuant to the bill
would have applied to "all state departments,
boards, and commissions,"
excluding elected constitutional officers, their staffs,
and state colleges and universities.
Id. § 3(b).
9. H.B. 2681, § 4(b)(1). Transitory records were
described as those "not received or
created in the course of state business," including
"personal messages" and
"other electronic mail, voice mail, telephone
messages, and other records that
have no administrative value." H.B. 2681, §
3(c)(1).
10. Inadequate funding also hampered implementation
of earlier retention programs.
See Ark. Op. Att'y Gen. No. 94-085.
11. Ark. Code Ann. § 25-33-104(a)(4).
12. Id. § 25-33-104(a)(2)(B). See also
id. § 25-33-104(a)(5) (authorizing ECIO to
"[o]versee the development
of legislation and rules and regulations affecting
electronic records management
and retention").
13. The 1995 legislation established a records commission
comprised of various state
officials and created, within the Department of Finance
& Administration, an office
of records management. Ark. Code Ann. §§
13-4 105, 13-4-106 (Supp.
1995) (repealed). Under the statutes in effect from
1987-1995, responsibility
rested with the Arkansas History Commission and the
state historian. Ark. Code
Ann. § 13-4-105 (1987) (repealed).
14. See, e.g., Ark. Code Ann. §§
25-8-102(b) (authorizing director of Department of
Finance & Administration "to install any
recordkeeping and other procedures
in his or her office and in other offices and departments
of the state which he or she
shall deem necessary or advisable to carry out his
or her functions and duties");
25-32-117(a) (providing that each state agency is
to "determine whether,
and the extent to which, it will create and retain
electronic records" with
the scope of the Uniform Electronic Transactions Act).
15. Drew Mashburn of the ECIO's office graciously
provided this status report and other
information about the working group for this article.
16. Statement of John W. Carlin, Archivist of the
United States (Sept. 21, 1998), available
at
http://www.archives.gov/records_management/policy_and_guidance
/electronic_record_workgroup. report.html.
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