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