LI 849: Records and Information ManagementProf. David Steward
SLIM, Emporia State University
Doug Frazier, Jonathan Falk, Mindy BrunkhardtNovember 18, 2013
Mission: Archivist
The Situation
Foundation2006Julian Assange
Newest controversyKansas City office
Director Jane JohnstonSupervisor Jim Philby
Accused of sexualharassment by staff
Wikileaks.org
Unrelated to the accusationsDiscovered during litigationUsing USB drivesLady Gaga music, lyrics, imagesClassified, privileged information
File Theft
No security policy
No monitoring software
Office shredders and recycle bins
Computer passwords
No biometrics
Current RIM Practices
Litigation Record Retrieval
EmailChatText messagesTweets
During team meetings
Individual meetingsGeneral office areaHallways and
elevators
* Physical meaning face-to-face, not physical sexual harassment
Sexual Harassment Assumptions
Physical*Electronic
Records under ScrutinyPersonnel
recordsHuman
resources (HR)
Departmental recordsStaff
evaluationsSupervisor
evaluationsDisciplinary
records
Bring Your Own DeviceSmart phonesTabletsLab top
computers
Litigation Priorities
Create audit formOrganizational & employees’
personalEmails, chats, text messages,
tweets, etc.From Johnston and Philby to
plaintiffs and staffFiltered by keywords or audit
formWork with IT department
Develop data map of serversLocate electronic records
Electronic Holds
Organization’s meetings’MinutesFormal & informal notesRecordings
Staffers’ meeting notesPhysicalElectronic
Disposition/interviews with plaintiffs’ colleagues
Physical Holds
Actions to Meet Litigation
Immediate electronic policy change
Incorporate monitoring proceduresElectronic downloads, uploads
and transfersRetrieval of electronic
communications and records using audit formPersonalOrganizational
Electronic Records
Immediate paper policy changeReplace
Paper recycle bins with secure shredding bins near photocopy and printing stations
Office shredders with secure consoles
Provide audit form for electronic and physical record retrieval
Paper Records
Litigation Budget
One-Time CostsPersonnel
IT departmentGeneral staff
Hardware
SoftwareE-
communications
organization
Total litigation costs
$ 35,000 $ 30,000
$ 15,000
$ 60,000
$ 140,000
Records Management Plan
Wikileaks RM Department commits to ensuring its Records Management Program can provide timely and efficient service to support decision making and meet business needs, legal, evidential and accountability requirements and fulfill community expectations
Vision
Wikileaks RM Department will achieve this vision by ensuring compliance with legislative requirements for records management and recordkeeping, and by developing staff knowledge and experience to meet their responsibilities
Mission
Long-Term Goals
Establish RM departmentChief executive level officerDirector, supervisors, staff,
additional supportRM policy
Write & approved by the chief executive officers
Circulate to staffRM procedures
Meet policyKeep full & accurate recordsCirculate to staff
Step 1: Begin
Staff involvementEducate and train in RIM policy,
proceduresSkills audit, training needs
analysisOrganize & budget training
RecordkeepingIdentify requirementsPerform internal audit of business
systemApply changes to system to meet
requirements
Step 2: Assess
Create efficient, intuitive methods & tools to organize recordsUser-created tagsThesaurusMetadata
Develop a retention & disposal authorityIn-houseVendor
Step 3: Create
Implement planOrganize new & old records via
RIM planRetain or disposeReduce storage costs
Monitoring regimenCompare RIM practices to
objectivesPerform self-auditsLook for areas of improvement
Improve availability
Step 4: Action
DistinguishVital recordsNon-vital records
Create disaster planWrite planTrain staffTest and adjust
Step 5: Secure
RM Annual Budget
Chief Information Officer$200,000
RM Director$140,000
RM Staff memberThree members$80,000 each
Personnel
Physical & Hardware$25,000
ServersSecurity
hardwarePaper works
$50,000Security
softwareSoftware
Organizational
IndexingCatalogingRetrieval
Material Costs
Software
VendorsUnderground Vaults & StorageIron MountainDaniel’s Moving & StorageMedia Services
ServicesStorage, retrieval, shredding,
delivery, data back-up & recovery, document imaging
Annual costBetween $25,000 and $100,000,
depending on service
Physical Records Costs
Total Annual CostsPersonnel
Material costs
Vendor costs
Total Annual
$ 380,000
$ 75,000
$ 100,000
$ 555,000
Purpose of RM
Document daily operations
Respond to past decisions and activities
Comply with laws, regulations, and standards
Remainaccountableandtransparent
Purpose
Questions or Comments?
Dove, A. (2010). Drafting a Dream Team to Prevent E-Discovery Nightmares. Information Management, 18–23.
Franks, P. (2013). Records & information management. Chicago, IL: American Library Association.
Generally Accepted Recordkeeping Principles. (n.d.). Retrieved November 18, 2013, from http://www.arma.org/r2/generally-accepted-br-recordkeeping-principles
New South Wales, A Division of the Department of Finance and Services. (n.d.). Sample records management short and long term plan — State Records NSW. Retrieved November 16, 2013, from http://www.records.nsw.gov.au/recordkeeping/resources-for/small-public-offices/records-management-toolkit/long-and-short-plan
References