Dirks-Redteam-Final 1

RED TEAM
Brady Cox, Gabrielle Roth,

Katharine Samaniego, Kaitlyn Tuck
& Alyssa Wynans
INF 389R: Introduction to Records

Management
DIRKS
SUBJECT: GABRIELLE ROTH
DIRKS: RED TEAM
TABLE OF CONTENTS
STEP A ................................................................................................................................. 2
Introduction .................................................................................................................................. 2
Demonstration of Need ............................................................................................................... 3
Subject Functions........................................................................................................................ 4
Delineation of Information and Recordkeeping Systems ................................................... 10
Legal Requirements .................................................................................................................. 14
Stakeholder Influences ............................................................................................................. 15
Community Expectations ......................................................................................................... 16
Attitude of Subject ..................................................................................................................... 17
STEP B ............................................................................................................................... 18
Introduction ................................................................................................................................ 18
Function: Student ...................................................................................................................... 19
Function: Professional .............................................................................................................. 25
Function: Social Being .............................................................................................................. 34
Function: Consumer .................................................................................................................. 37
Validation of Analysis with Subject ......................................................................................... 39
STEP C ............................................................................................................................... 40
Introduction ................................................................................................................................ 40
Risk Identification ...................................................................................................................... 41
Analysis of Recordkeeping Requirements ............................................................................ 42
Records Retention Schedule ................................................................................................... 65
STEP D ............................................................................................................................... 67
Introduction ................................................................................................................................ 67
System Assessment: UT Gmail Account ............................................................................... 68
System Assessment: Static Hard Drive on Laptop .............................................................. 71
Gap Analysis Tables ................................................................................................................. 86
Conclusion................................................................................................................................ 101
STEP E ............................................................................................................................. 103
Introduction .............................................................................................................................. 103
Records Tables ........................................................................................................................ 104
Systems Tables ........................................................................................................................ 107
DIRKS: RED TEAM
Processes Tables .................................................................................................................... 112

STEP F .............................................................................................................................. 117
Introduction .............................................................................................................................. 117
Records ..................................................................................................................................... 118
Systems ..................................................................................................................................... 125
Processes ................................................................................................................................. 128
Conclusion ................................................................................................................................ 130
DIRKS
STEP B
RED TEAM
Kaitlyn Tuck & Alyssa Wynans

STEP B: GABRIELLE ROTH
INTRODUCTION
While Part A established a number of functions and activities for our subject, it is now necessary
to assess the functions of the subject based on the actual record series produced and maintained
in the subject’s filing systems. We used recommendations from Part B of DIRKS (Designing and
Implementing Recordkeeping Systems) to analyze the business activity of our subject, Gabrielle
Roth, and build a business classification scheme based on our findings. For this section, we were
granted access to the subject’s static hard drive stored on their personal laptop computer, and to
their University of Texas email account, which is housed within a Gmail server.
Based on the records provided to us by the subject, we have identified four primary function
categories: Student, Professional, Social Being, Consumer. These functions are actively visible
in Roth’s records on both platforms, but not all of the records are actively being used in day-to-
day activities or in aiding the subject in the attainment of their overall goals.
Through the four identified functions, the subject exhibits several overarching goals. First, a short-
term goal is to graduate from The University of Texas at Austin (UT) with a Master of Science in
Information Studies (MSIS). This goal reflects Roth’s broader mission of continuous professional
development, which is demonstrated in multiple functions and is evidenced by the records. Other
goals include maintaining social relationships through travel and time spent with friends and
family, complying with federal and state laws, and upholding fiscal responsibility. Roth’s central
goals and mission are reflected throughout their careful recordkeeping system. Each of their
functions, activities, and record series exhibit the studied consideration of an organized and
conscientious person committed to maintaining a body of records with a high level of organization
and reliability.
Still, there are opportunities for implementing recordkeeping strategies and best practices that
would strengthen and enhance the subject’s overall records management and support their goal
attainment. This is especially true when it comes to minimizing social, legal, and professional risk
factors, and maintaining long-term preservation of valuable records for future usage and
accessibility. We included brief analyses of the risk factor of each activity within the individual
function sections. A low risk factor rating indicates there is no imminent threat to the subject’s
ability to retain those records. A moderate risk factor rating indicates that while the loss of these
records is unlikely, the subject has not taken steps to mitigate existing threats. A high risk factor
indicates there is an imminent threat to the records that the subject will need to address in order
to adhere to good recordkeeping practices.
The remainder of Step B is a close look at Roth’s primary functions and the activities, transactions,
and record series associated with those functions. We analyzed each function individually in order
to build a thorough business classification scheme for the subject in preparation of further
disposition recommendations. For Step B, we made an effort to separate our knowledge of the
subject from what is proven in the records themselves.
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FUNCTION: STUDENT
The first function that we identified during our analysis of Roth’s records is that of a student. The
Student function demonstrates the subject’s enrollment and attendance at an institute of higher
learning in pursuit of a particular degree over a given period of time. The records reflect three
different times the subject has fulfilled the Student function in their life: as an undergraduate at
California State University at Long Beach (CSULB) from 2006 to 2011, as a graduate student at
Rutgers University (RU) from 2013 to 2015, where they obtained a Masters of Fine Arts in
Sculpture from the Mason Gross School of the Arts, and in their active role as a graduate student
enrolled in a degree program at The University of Texas at Austin in the School of Information
(iSchool). For the two graduate programs, the records are stored on the subject’s personal
computer under GRADUATE SCHOOL_MSIS and PROFESSIONAL in a subfolder labelled
GRADUATE SCHOOL_MFA. The records associated with this function are highly organized on
Roth’s computer, which reflects the level of importance the subject places on this function. Roth
manages these records to fulfill their goal of remaining in good standing with the university and
graduating with a Master of Science degree. Completing this goal will, in turn, help the subject
complete their goal of furthering their career through continued professional development.
ACTIVITY: Creating and Editing Assignments, Classwork, Papers, and Projects
Roth’s student function generates multiple on-going activities. The first activity synthesized by our
analysis is the completion of assignments, classwork, papers, and projects. We traced this activity
through each of the time periods in which Roth fulfilled the student function, starting in 2006 at
CSULB and continuing through the present in their classes at UT. This activity generates three
transactions: creating and editing assignments, completing assigned reading, and tracking
assignment due dates. We were able to identify instances of each of these transactions occurring
within Roth’s records in the email account and GRADUATE SCHOOL_MSIS and GRADUATE
SCHOOL_MFA folders with subdivided folders based on semester then individual classes on the
static hard drive.
The first transaction generates many records in many different file formats, including Microsoft
Word documents, Adobe PDFs, and Microsoft PowerPoint slideshows. This transaction can also
produce multiple drafts, especially in the case of group projects when documents are being
shared and copied to multiple devices. In order to complete this transaction, Roth must choose
the appropriate file format, gather the correct data and written work to fulfill the requirements of
the assignment, and then turn the assignment in according to the professor’s requirements. The
subject then maintains a record of that transaction in the form of the final draft of the assignment
and sometimes earlier drafts of the assignment, as well.
The second transaction of completing assigned reading does not generate as many records as
the first. The usage of textbooks or online sources as opposed to PDFs provided by the professor
limits how often the transaction generates a record that is reflected within Roth’s file system,
despite the transaction occurring frequently. However, when provided with the opportunity to save
and maintain a copy of the assigned reading in PDF form, Roth has displayed a tendency to do
so as exhibited by the records of each class.
The third transaction associated with this activity is tracking assignment due dates. To complete
this transaction, Roth monitors the administrative materials (e.g. the syllabus) saved on their
desktop. In order to maintain their grades and good standing with the University, Roth must not
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only complete the assignments (as seen in the first transaction) but also have a knowledge of the
organization of the semester and where each assignment falls within that organization. If this
transaction is not completed, Roth is at risk of not completing the overall goal of the student
function.
The risk to the majority of the records associated with this activity is high and could result in
financial loss due to the costs of attending the university, public embarrassment in interacting with
classroom peers when Roth does not have the correct records, or non-compliance with the
expectations of the class as decided on by the professor. Loss of many of these records would
be irrevocable, and Roth would have to entirely recreate them in order to submit them to the
proper professors.
ACTIVITY: Attending Classes
The second activity associated with this function is attending classes. This activity can be found
in the records generated since Roth’s matriculation into CSULB and is maintained in the subject’s
folders for present classes at UT. Two transactions are associated with this activity: taking notes
and saving PowerPoints and lecture materials handed out by professors. The records associated
with these transactions are exclusively found on Roth’s personal computer under GRADUATE
SCHOOL_MSIS and GRADUATE SCHOOL_MFA with subfolders dedicated to each semester
and then divided further based on individual classes. Preserving these records in the long-term
aids Roth not only in the goal of graduation from The University of Texas, but also the larger goal
of continued professional development.
The first transaction of attending classes, note-taking, is generated and completed during the
given times associated with each of Roth’s classes. The records become static when Roth moves
to a new semester and a new set of classes. However, saving the notes allows Roth to reference
the knowledge acquired during class times at later dates, either while completing assignments for
that class or while working in future jobs. The preservation of digital notes from each class allows
Roth the ability to move them from device to device if they wish to do so.
The second transaction associated with this activity is downloading and saving professors’
PowerPoints and lecture materials if they are provided in a digital format. This transaction is
reflected in Roth’s records resulting from multiple classes, but not all. This is related to the subject
deeming certain lecture materials as less important than others or the professors of certain
classes chose to not make their materials available to the students. As with class notes,
maintaining these records allows Roth to utilize the knowledge within them at later points in their
life, if the need for it ever arises.
Risk to lecture materials and notes is high. For lecture materials, Roth will not have access to the
records after their graduation from UT. Like many of their other files, the class notes are at risk in
the event of deletion or hardware obsolescence. Failure to back up these files to another platform
or system leaves Roth vulnerable to professional embarrassment resulting from the inability
access the knowledge stored in those files.
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ACTIVITY: Communicating with Professors and Student Peers
The third activity within the student function is communicating with professors and student peers.
This activity is reflected primarily in Roth’s UT email account. Because this email account is
associated with Roth’s time at the UT, we only have evidence of communication between the
subject and their professors/peers from their time at The University of Texas. The activity has
three associated transactions: sending and receiving emails regarding group projects and other
assignments, notifying professors of missed classes and make-up work, and checking the email
system for class updates from their professors. Many of these emails are processed through
Canvas, a learning management system utilized by UT, with notifications being sent to Roth’s
associated university email account. Roth has added a SPRING 2020 filter to some of these
emails.
The first transaction associated with this activity is sending and receiving emails regarding group
projects and other assignments. Many of these notifications are processed through the Canvas
system, while others go directly between the students’ or professors’ email accounts.
Coordination between group members working collectively on a project generates many records;
however, Roth’s records are not organized to reflect any sort of primacy for this transaction.
Second in this activity is notifying professors of missed classes and make-up work. This
transaction is completed exclusively through emails and does not generate many records. Despite
the low number of records associated with it, this transaction is very important to completing
Roth’s goals. Failure to complete this transaction leaves Roth vulnerable to lowered grades and
a loss of good standing with the university, possibly leading to an inability to graduate and stalling
of professional development.
The final transaction associated with this activity is checking emails for class updates from
professors. This could involve last minute changes to assignments, cancelled classes, or any
number of possibilities that would affect Roth’s ability to fulfill the student function. Notifications
from professors often come through the Canvas messaging system and are forwarded to Roth’s
associated email account.
The risk is moderate for the emails associated with this activity, which are only vulnerable in the
event that Gmail no longer becomes a viable platform. Still, Roth is vulnerable to public
embarrassment and non-compliance with class requirements should they not keep themselves
up to date on the requirements of the class as communicated in the email notifications.
ACTIVITY: Acting as Vice President of SAA-UT
The final activity we identified within the student function is acting as Vice President of The
University of Texas Society of American Archivists Student Chapter (SAA-UT). This activity was
only recently taken on by the subject and is reflected solely in Roth’s email account. There are
two transactions associated with this activity: applying for conference poster sessions and
monitoring Hornslink (an online hub for student organizations at UT) for student organization
updates, requirements, and regulations.
For the first transaction, Roth has emails regarding the proposal and acceptance of poster
proposals to two conferences: The Society of Southwest Archivists annual meeting and the
Society of American Archivists annual meeting. Roth has added a filter, SAA-UT, and a sub-filter
called 2020 Conferences to the associated emails. It is likely that this transaction will generate
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more records as the conference dates approach and could result in records being moved onto
Roth’s personal computer.
The second transaction is monitoring Hornslink for updates, requirements, and regulations
regarding the maintenance of student organizations at The University of Texas. A filter, SAA-UT,
and sub-filter, Hornslink, have also been applied to this transaction within the email system,
indicating the importance Roth places on being able to identify and utilize the information within
these notifications. Failure to monitor these notifications could result in consequences for the
organization as a whole, meaning that in this case, Roth is beholden to the other members of the
organization.
Risk for these records is moderate because the other officers also maintain records regarding
meetings and events in a box folder and in the organization's Gmail account, but Roth is the
primary point of contact regarding student chapter poster application submissions and maintains
the only copies of those communications. There is a slight risk regarding the lack of conference
records backed up outside of Gmail, which could result in non-compliance with UT organization
requirements or with conference requirements for poster sessions.
The amount of records generated by this function indicate that it is one of Roth’s primary functions
and that the function is instrumental in completing Roth’s overarching goals of graduating and
continuing to develop their professional portfolio. Roth’s preservation of records from previous
learning institutions also exhibits the subject’s dedication to these goals and a willingness to think
about the long-term benefits of maintaining records even when they are not in active use. As a
student, Roth has organized their digital records in a fairly consistent, hierarchical manner
allowing them to complete the activities and transactions associated with the student function.
Function Activities Transaction Records

Student (2006-present) Complete assignments, Creating/editing assignments Word documents (Desktop >
classwork, papers, and
GRADUATE SCHOOL_MSIS
projects (2006-present)
Current: Master's Candidate, then filed by semester and
University of Texas, class)
School of Information, Fall
2019 - present
Completing assigned reading Reading Assignments

(PDFs filed by semester and
class under Desktop >
Past: MFA, Mason Gross GRADUATE
School of the Arts, Rutgers SCHOOL_MSIS)
University, 2013-2015
Undergrad: Cal State-Long Tracking assignment due Administrative Materials

Beach, 2006-2011 dates (PDFs of syllabi and lecture
PowerPoints filed by class
under Desktop >
GRADUATE
SCHOOL_MSIS)
Stakeholders
Faculty
Student Peers
The University of Texas at Austin
Risk: High
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The risk for these records is high because prior to uploading the documents to canvas or emailing
them to the professor, they are only stored on Roth's desktop without any backups. Deletion or
loss of these files would be irrevocable and result in Roth having to recreate them from nothing.
Additionally, they would not be able to retrieve copies of the assignments from canvas after
graduation in the event of deletion or loss.
Attending Classes (2006- Taking notes Word documents (Desktop >

present) GRADUATE
SCHOOL_MSIS then
subdivided by semester and
class)
Saving professor PDFs (Desktop >

PowerPoints/lecture materials GRADUATE
SCHOOL_MSIS then
subdivided by semester and
class)
Stakeholders
Faculty
Risk: High
Notes can later be used to succeed academically and fulfill course requirements, furthering
subject's academic and professional success. Failure to migrate files locally on to laptop hard
drive will result in loss of materials compiled by an expert in the field that can be used as reference
documents in future career. Material will be lost when student graduates out of the program and
could result in non-compliance with professor's course fulfillment requirements or institutional
attendance requirements.
Communicate with sending and receiving emails Emails (Gmail via canvas
professors/student peers regarding group projects and system and direct emails),
(2019-present) other assignments SPRING 2020 added to
select records.
Notifying professors of missed Emails (in Gmail), SPRING

classes and make-up work 2020 added to select
records.
Checking email system for Emails and canvas

class updates from professors notifications through the
Gmail system, SPRING
2020 added to select
records.
Stakeholders
Faculty
Student Peers
Risk: Moderate
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Loss of email communication would not have many negative effects on Roth long-term but could
result in unacceptable delays regarding time management and ability to complete assignments
during a given semester resulting in professional and social embarrassment for subject.
Acting as VP of the UT Applying for conference poster Email notifications of
student chapter of SAA sessions at SSA and SAA acceptance in Gmail (Gmail
(2019-present) > SAA-UT > Conferences
2020)
Monitoring Hornslink for Email notifications of

student organization updates, acceptance in Gmail (Gmail
requirements, and regulations > SAA-UT > Hornslink)
Stakeholders
Supervising faculty member
Fellow Officers
Student Chapter members
Risk: Moderate
Risk for these records is moderate because the other officers also maintain records regarding
meetings and events in a box folder and in the organization's Gmail account, but Roth is the
primary point of contact regarding student chapter poster application submissions and, thus,
maintains the only copies of those communications. There is a slight risk regarding a lack of
backup for the conference records outside of Gmail, which could result in non-compliance with
UT organization requirements or with conference requirements for poster sessions.
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FUNCTION: PROFESSIONAL
One of the subject’s primary functions is being a professional. The Professional function includes
all activities related to, or in support of, the career advancement of the subject. In their functional
capacity as a professional, the subject has engaged in many activities, which have resulted in a
high volume of records. Spanning from 2006 through the present, the records that fall into this
category show a continual commitment and engagement with an array of professional pursuits
and activities, all of which emphasize the results-driven nature of the subject in advancing in the
professional sphere.
Activities of the subject that are included in their function as a professional include working as a
Teaching Assistant (TA) in the Engineering Department at UT (August 2019-present), creating art
(2006-present), maintaining certifications (2020), engaging in career development activities
(2006-present), and maintaining static business records (2018 to present).
ACTIVITY: Teaching Assignment in the Department of Engineering
Transactions related to Roth’s activity as TA for the Engineering Department at UT as reflected

by the records include grading, teaching, monitoring email for Canvas notifications from their
supervising professor or students, attending meetings with their supervising professor, and
retaining proof of employment, benefit elections, and paystubs. In their capacity as a TA, Roth
furthers their goal of professional development by adding valuable experience to their resume
which demonstrates their leadership and sense of responsibility to others (a key driving
component of their mission is their reliability to peers).
Records produced from the transaction of grading include copies of submitted student papers
stored on the subject’s laptop, as well as ingoing and outgoing email communication with students
and the supervising professor. All email communication is rerouted to a subfolder within the
subject’s email inbox, labelled by semester, year, and course number (e.g. Fall 2019/ME333T)
using the Engineering Communication filter. Student papers are stored on the subject’s desktop
in the Graduate School_MSIS folder, in the ME 333T - TA folder, which is named after the course
number they teach. Records produced from the transaction of teaching include lesson plans in
Word doc format, which are also stored in the ME 333T - TA folder on the subject’s desktop.
Other transactions related to the activity of being a TA include monitoring email for notifications
from the subject’s students and supervising professor and attending meetings with their
supervising professor. Records from both of these transactions are received as emails (some of
which are email notifications generated by the platform Canvas) and are sorted to a subfolder
(Fall2019/ME333T) in Roth’s Gmail account using the Engineering Communication filter they
have applied.
Lastly, the transaction of retaining proof of benefit elections and healthcare from UT generates
records in the subject’s Gmail account that are filtered into the subfolder HEALTHCARE. Proof of
having health insurance in the subject’s records is necessary to their receiving low-cost health
care as a benefit of their employment with UT.
The risk factor for this activity is high as the subject is responsible for educating undergraduate
students with materials located in the lesson plan records in preparation for teaching the course
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and their students are dependent on receiving credit for the course through graded evaluation of
submitted papers. Failure to properly store or submit these records may compromise Roth’s ability
to meet the requirements of their position. By not meeting requirements of the position, subject
risks incurring professional embarrassment and causing unacceptable delays in student grade
reporting. Students depend on the subject for fulfilling academic requirements. The subject is
liable for confidentiality of student grades and other personal information. The subject may risk
professional development central to their mission/goals by damaging their relationship with the
supervising professor, who might serve as a future reference contact on a resume. Additionally,
the subject could face loss of employment by not meeting terms of agreement with their
institution/employer and subsequent loss of healthcare benefits and income.
ACTIVITY: Creating Art
Creating art is another activity of Roth’s related to their Professional function. The subject
completed an MFA in sculpture at RU and has regularly created art in a professional capacity
since 2006. Transactions related to this activity present in the records include maintaining
documentation of their artistic portfolio, applying to residencies, and responding to commissions
requested by patrons. Roth creates work in several different media and creates digital video or
photographic documentation of the artworks, which are saved in JPEG and Mov formats and
stored on the subject’s laptop desktop in the PROFESSIONAL folder, in a subfolder labelled ART.
The ART folder contains several files, five of which contain the photographs documenting their
portfolio, labelled by medium type or location of production: DRAWINGS, PAINTINGS, PRINTS,
SCULPTURE, STUDIO, and VIDEO.
The records produced from the transactions of applying to residencies and responding to
commission requests are also filed in the ART folder under the files titled APPLICATIONS and
CAKETOPPERS. The APPLICATIONS file contains residency applications and information saved
in Word doc, PDF formats, and JPEG images of portfolio artwork required by residency
applications. The CAKETOPPER file contains Word docs and PDF format records of the
commission of caketoppers designed by the subject and purchased by patrons, as well as
photographic documentation of the objects themselves in JPEG format.
Risk level for these records is high. Artworks are unique objects created by the subject and, in
many cases, the subject is no longer the owner of the artworks. Photo and video documentation
of the artworks serve as sole records of the subject's production of artwork and a testament to the
subject's artistic skill. Photographic documentation of their artistic portfolio is an informational
asset that can be monetized for future sale of artworks and used as a marketing tool for soliciting
future commissions from patrons. Records of artworks serve as documentary proof of subject's
output during MFA program and during residency programs. Risk of destruction of records due to
obsolete technology or damage to the subject's laptop are high if the files are not backed up in an
additional external hard drive or other location.
Current owners of Roth’s artwork have a stake in the subject's continued success as an artist
since this may inflate the value of the work they own. Rutgers also has a stake in Roth’s artistic
endeavors and output since their status as a successful alumna can be used as leverage in
enticing potential students to attend their MFA program. Upkeep of records can be used by the
subject to promote patronage of their work through commissions and as application material in
applying for future residencies or grants, furthering their professional mission of career
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development and in keeping with their desire to apply and maintain records with a high level of
fixity, organization, and integrity.
ACTIVITY: Maintaining Certifications
Maintaining certifications is another activity that falls within the Professional function of the
subject. A transaction of this activity is completing coursework for certification (a task assigned
by a professor, but which contributes to professional development and can later be listed on the
subject’s resume). The records from this transaction are PDF format files downloaded from
LinkedIn Learning and saved on the subject’s laptop. The records are stored in the
PROFESSIONAL folder on the subject’s desktop in the CERTIFICATIONS subfolder.
Risk for these records is very low. Subject has submitted the required assignment, which was of
low point value for the grading metrics of the course. The certification is not a required qualification
for current or future jobs and the record can be reproduced by logging into LinkedIn Learning and
downloading the certification again. However, the subject will lose student access to this paid
subscription service once they graduate so retaining a digital file of the certification on their laptop
will prove useful for reviewing educational content and reinforcing the skill-set necessary for all
careers (meaning it has high educational value and can be monetized through the actions of
review and by listing it on a resume). Stakeholders for this record include the professor who
assigned it and may ask the subject to produce it as record of completion, fellow students in group
projects with Roth who would benefit from the skills learned by the subject, and future employers,
who may hire Roth over another candidate on the basis of their certification.
ACTIVITY: Engaging in Career Development Activities
Engaging in career development opportunities is an activity that generates many records for the
subject and reflects their high level of engagement and focus in this area of the Professional
function. The activity of engaging in career development activities is composed of the following
transactions as determined by Roth’s records: attending career information sessions, monitoring
email inbox for job or internship opportunities, applying for internships, participating in Special
Collections Group, and creating professional resumes and selecting writing samples.
Attending career information sessions that are organized by the Career Development Office at
UT’s iSchool is a transaction category of this activity. Records of this transaction are the regular
email notifications the subject receives through their UT Gmail account from iCareers into their
inbox. Monitoring their inbox for emails with job or internship opportunities is a transaction that
produces email records in the subject’s inbox from their career-related listserv subscriptions,
including the insider, the flipsider, ArchivesGig, and the Society of American Archivists. Applying
for internships is a transaction that produces communication regarding requests for
recommendation letters between the subject and the potential recommender in the form of emails
in the subject’s UT Gmail inbox. Participating in the Special Collections Group, a professional
group whose mission (similarly aligned to Roth’s) includes advancing in a career environment that
involves special collections, also generates email records in the subject’s email inbox between
the group leader, other group members, and the subject. Lastly, Roth’s transaction records of
creating professional resumes and selecting writing samples can be located on the subject’s
laptop in the desktop PROFESSIONAL folder in the files Resume_CV (containing PDF and Word
formats) and Writing Samples (contains only Word doc formats).
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While the risk of not having the records is fairly low, retaining these documents, specifically those
related to resume building, potential future employers/coworkers and internships, and as proof to
future employers of professional affiliations, does make them valuable documents to the subject’s
central goal of advancing professionally and remaining accountable to their peers. The subject’s
graduate cohort and UT also have a stake in Gabrielle’s career development activities because
their attendance of career events helps support this programming at the school through
attendance metrics. Benefits of engaging with career development activities that may result in the
advancement of their status and financial security extend to include Roth’s partner, a key
stakeholder in their life and function as a social being, adding further value to the records.
ACTIVITY: Maintaining Static Business Records
The final activity of the subject’s professional function is maintaining static business records.
Transactions related to this activity include maintaining documentation of employment from
previous employer Stuart G. Rosenberg Architecture (SgRA) and maintaining business records
from previous employer (SgRA). Records for both transactions are stored on Roth’s laptop in the
desktop PROFESSIONAL folder, under the SGRA subfolder. Within this folder are documents
from their time as an employee with this company including a copy of their offer letter and exit
letter (both Word documents) and a copy of their contract (a PDF format document). Business
records from Roth’s previous employer are located in the SGRA - Contractor file within the SGRA
subfolder. This file contains administrative templates, an employee handbook, fee proposals,
invoices, passwords, permitting templates, project logs, and projects filed folders (containing PDF,
Excel, and Word documents).
The SgRA employment records are important for the subject to retain in order to track
their personal career arc and as proof of their previous terms of employment. They can also prove
useful to Roth in the future as reference drafts for crafting similar documents or in negotiating
contracts. These have working value for the subject but are ultimately of low to moderate risk
level. However, the legal ramifications and professional embarrassment that may result from the
continued storage of the business record material from a previous employer poses a high level of
risk for the subject. Documents may contain personal identifying information (PII) about SgRA's
employees and clients in private contractual agreements, as well as proprietary information about
the way the business operates. If this sensitive information were to become publicly exposed, it
may have a detrimental effect on Roth by compromising future relationships with potential
employers and relationships with former employer, colleagues, and clients of SgRA.
ACTIVITY: Filing Taxes
As someone who is gainfully employed, the subject is accountable for compliance with federal,
state, and local laws. One of these laws is the requirement by federal and state governments to
file taxes with the Internal Revenue Services (IRS) on an annual basis. Therefore, filing taxes is
one of the activities of being a professional.
Evidence of this activity is present in the subject’s laptop hard drive, where they have stored their
tax records. Filling out tax forms is one of the transactions required to file taxes Records of this
transaction are located on the subject’s desktop is the folder FINANCES. Within this folder is a
sub-folder labeled TAXES. Within this sub-folder, Roth has individual files for the past four years
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(2016, 2017, 2018, and 2019, respectively) containing copies of their tax form records saved in
PDF file format. There is also a file titled 2019_DR_401k-fidelity which contains records from
when the subject filed taxes for their father after he passed in 2019.
One of Roth’s stated goals is increased financial security. By not adhering to these legal
requirements of record retention, Roth potentially risks financial penalties in the form of fees or
wage garnishments and a poor credit rating that might negatively affect their functions as
Consumer and Social Being by incurring debt, a poor credit rating, and a vulnerability to possible
lapses in making obligatory payments per signed, binding agreements (such as rent or student
loan bills). Their function as Student might be affected if they fail to properly file and store taxes
due to loss of ability to qualify for student loan money in the future. Roth risk’s not being prepared
in the event of a possible audit by the IRS by not storing up to three years of tax information, the
required amount.

Professional (2006- Teaching Assistant-Engineering Grading Student papers (Desktop >
present) Dept (August 2019-present) GRADUATE
SCHOOL_MSIS > ME 333T
- TA)
Emails communication to
and from students, emailed
canvas notifications, email
communication with
supervising professor (all
filtered through the Gmail
system under the
engineering communication
filter)
Teaching Lessons plans (Word

documents in Desktop >
GRADUATE
SCHOOL_MSIS > ME 333T
- TA)
Monitoring email for Canvas Emails through Gmail

notifications from students (engineering communication
and supervising professor filter)
Attending meetings with Emails through Gmail

supervising professor (engineering communication
filter)
Retaining proof of benefit emails through Gmail

elections and healthcare system regarding healthcare
coverage (HEALTHCARE
filter applied in Gmail)
Stakeholders
supervising professor
students
Risk: High
28
The subject’s TA-ship is connected to their tuition reduction benefit (TRB). By not meeting
requirements of the position, the subject risks incurring much higher tuition payments and accrual
of financial debt. Students depend on subject for fulfilling academic requirements and maintaining
confidentiality of student grades. The subject risks professional development central to
mission/goals by damaging professional reputation with supervising professor, who might serve
as future reference contact on a resume.
Creating Art (2006-present) Maintaining documentation Photos of drawings (jpegs

of artistic portfolio under Desktop >
PROFESSIONAL > ART >
DRAWINGS)
Photos of paintings (jpegs

under Desktop >
PAINTINGS)
Photos of prints (jpegs

under Desktop >
PRINTS)
Photos of sculpture (jpegs

under Desktop >
SCULPTURES)
Photos of studio projects

(jpegs under Desktop >
STUDIO)
Photos and videos for use in

video projects (jpegs and
mov files under Desktop >
VIDEO)
Applications to residencies Word documents and PDFs

(Desktop >
APPLICATIONS)
Responding to commission Words documents, PDFs,

requests and photos (Desktop >
CAKETOPPERS)
Stakeholders
Patrons/People requesting commissions

Rutgers
Current owners of artwork by Gabrielle Roth
Risk: High
Artworks are unique objects created by the subject and, in many cases, the subject is no longer
owner of the artworks. Photo documentation of the artworks serve as sole records of subject's
production of artwork and testament to subject's artistic skill. Photographic documentation of their
artistic portfolio is an informational asset that can be monetized for future sale of artworks and as
a marketing tool for soliciting future commissions from patrons. Records of artworks serve as
documentary proof of subject's output during MFA program and during residency programs. Risk
of destruction of records due to obsolete technology or damage to subject's laptop are high if the
files are not stored in an additional external hard drive or other location.
29
Maintaining Certifications (2020) Complete coursework for PDFs of certificate from

certification LinkedIn Learning (Desktop
> PROFESSIONAL >
CERTIFICATIONS)
Stakeholders
Professor assigning certification course
teammates/peers in group project
Future employer/coworkers
Risk: Very low
Required assignment of low point value for a course. Not required for job; record can be
retrieved by logging back into to LinkedIn
Engaging in Career Attend Career Information Email notifications from

Development Opportunities Sessions iCareers through Gmail (no
(2006-present) filter added)
Monitor inbox for emails with Listserv email subscriptions

job or internship (the insider, the flipsider,
opportunities ArchivesGig, and Society of
American Archivists)
Apply for internships Request letters of

recommendation (Gmail, no
filter added)
Participating in Special Gmail communication with

Collections Group group leader (no filter
added)
Creating professional Word documents and PDFs

resumes and selecting (Desktop >
writing samples PROFESSIONAL >
RESUME_CV)
Word documents (Desktop

> PROFESSIONAL > writing
samples)
Stakeholders
Future employers/coworkers
Graduate cohort
Partner
The University of Texas Career Development Office
Risk: Moderate
While the risk of not having the records for this is fairly low, retaining these documents for resume
building and proof to future employers does make them valuable documents to the subject's central
mission/function of education and professional development.
Maintaining static business Maintaining business Word documents and PDFs

records (2018-2019) records from previous (Desktop >
employer (SGRA) PROFESSIONAL > SGRA >
SGRA – CONTRACTOR >
ADMIN TEMPLATES)
Word documents and PDFs

(Desktop >
PROFESSIONAL > SGRA >
30

EMPLOYEE HANDBOOK)

(Desktop >
FEE PROPOSALS)

(Desktop >
INVOICING)

(Desktop >
PASSWORDS)

(Desktop >
PERMITTING
TEMPLATES)

(Desktop >
PROJECT LOGS)

(Desktop >
PROJECTS)
Maintaining documentation Word documents and PDFs

of employment from (Desktop >
previous employer SGRA PROFESSIONAL > SGRA)

(Desktop >
SGRA - CONTRACTOR >
000_GR - INVOICES)
Stakeholders
SgRA
Clients of SgRA
Former colleagues and boss
Future employers
Risk: High
Legal ramifications and professional embarrassment from the continued storage of this record
material from a previous employer pose a high level of risk for the subject. Documents may contain
personal identifying information (PII) about SGRA's employees and clients in private contractual
agreements, as well as proprietary information about the way the business operates.
31
Filing taxes (2019-present) Filling out tax forms Tax form PDFs (Desktop >
FINANCES > TAXES)
Stakeholders
IRS
Former employers
State of Pennsylvania
State of New Jersey
State of Ohio
State of Texas
Fellow U.S. citizens
Risk: High
Copies of these records are not maintained anywhere else in Roth's system, leaving them open
to risk in the form of non-compliance with federal tax regulations in the event of auditing if the
files are lost. Roth neglects their legal obligation to store tax files for seven years. An audit of
Roth’s tax records by the federal government could result in financial penalty, such as fees,
garnished wages, or jail time.
32
FUNCTION: SOCIAL BEING
Another function we have identified based on Roth’s records is Social Being. This function is
associated with maintaining social relationships with family and friends in a variety of contexts.
Through the photograph records on Roth’s personal computer, we can trace their function as a
social being through the majority of their life. In fact, some of the photographs saved on their
personal computer are scanned photographs of family members from before Roth’s birth, making
it difficult to identify a specific date range for this function. Roth organizes these records in a very
deliberate manner, demonstrating the level of importance the subject places on this function.
Based on Roth’s records, we were able to identify two activities: interacting with family, friends,
and pets, as well as traveling. The records associated with these activities are stored in two
different folders: PERSONAL and FINANCES then in a subfolder labelled SPRING BRK 2020.
ACTIVITY: Interacting with Family, Friends, and Pets
The first activity associated with this function is interacting with family, friends, and pets. Roth has
preserved a large amount of records that are evidence of their social interactions with a variety of
people that span across the subject’s entire lifetime and beyond. This activity only has one
associated transaction: documenting time spent with family, friends, and pets. The transaction is
carried out through the capturing of photographs during the time spent with family, friends, and
pets. These records primarily take the form of jpegs saved to Roth’s personal computer in the
PERSONAL folder then subdivided into folders based on the names of the photographs’ subjects
or the places the photographs were taken.
The risk to the photographs in particular is high because Roth has not backed the files up to any
other form of storage. In the event that these files were lost, Roth would be unable to retrieve
them from another source. Part of the risk of loss for these records is in the obsolescence of
software, e.g. file format, or hardware regarding the static hard drive on which Roth stores the
files currently.
ACTIVITY: Travel
The second activity identified within this function is travel. Roth’s partner and many of their friends
and family do not live in Texas, where the subject is completing a degree program at The
University of Texas. Thus, in order to maintain their social relationships, Roth often travels to
spend time with their family and friends. From this activity, we have found two common
transactions: making flight arrangements and reserving hotel accommodations. PDFs of receipts
associated with these transactions are saved on Roth’s personal computer in the FINANCES
folder and SPRING BRK 2020 subfolder. Roth does not appear to preserve travel documentation
past the dates of the trip itself.
The risk to the files associated with Roth’s travel plans is moderate given that most of those
records can be retrieved from either the airline’s or the hotel group’s website in the event that the
files are lost by the subject. However, the burden of proof is on the consumer, and Roth must trust
that the airlines and hotels will maintain reliable records.
Roth demonstrates the importance of the Social Being function not only through the level of
organization given to those records, but also through concentrated effort to digitize and preserve
33
older photographs. Additionally, for the photos in particular, the date range of the associated
records is much larger than any of their other records groups, showing that this function has been
an integral part of Roth’s activity for longer than any of the other functions. While the number of
records regularly generated in association with this function is considerably less than for the
Student or Professional functions, the care Roth takes to maintain those records prove the
primacy of this function over the others.

Social Being Interacting with Document time spent with Photos (jpegs in Desktop >
family/friends/pets (1988- family/friends/pets by taking PERSONAL > ANDREW <3)
(1988-present) present) photos
Photos (jpegs in Desktop >
PERSONAL > ANDY AND
JULIA)

PERSONAL > CAPURRRS)

PERSONAL > DAD)

PERSONAL > DINA AND
JASON)

PERSONAL > ELIZA)

PERSONAL > FRIENDS -
RIPower)

PERSONAL > GABRIELLE)

PERSONAL > HOME FAM)

PERSONAL > J-SHARPE-
MANCE)

PERSONAL > JOSH AND
SHAUNA)

PERSONAL > LUNA
PUPPY)

PERSONAL > MOM)

PERSONAL > ROTH SIBS)

PERSONAL > RUTGERS
FAM)

PERSONAL > SISTER)

PERSONAL > WASSAIC
FAM)
34
Stakeholders
Family Members
Partner
Friends
Pets
Risk: High
The risk to these records is high because they are not backed up to an alternate system or hard
drive. Thus, loss of these records would be irrevocable. Obsolescence of software or damage to
computer could result in permanent loss of materials and personal embarrassment.
Travel (2019-present) Make flight arrangements ● PDFs of receipts

(Desktop > FINANCES >
SPRING BRK 2020)
Reserve hotel ● PDFs of receipts

accommodations (Desktop > FINANCES >
SPRING BRK 2020)
Stakeholders
Family Members
Partner
Friends
Risk: Moderate
Records documenting proof of purchase are required for Roth to board a plane, but these
records can often be retrieved through the airline's website or at airport check-in desks.
35
FUNCTION: CONSUMER
One of Roth’s main functions is their role as a Consumer. This function is tied to some of the more
basic necessities of life, such as a place to live and food to eat, but it’s reach is wide and varied
since many of Roth’s activities require some form of financial payment in exchange for goods or
services on a regular basis. In their function as a consumer, Roth receives and stores evidence
of the following activities on their email and laptop hard drive: shopping (2019-present),
maintaining tenancy (2019-present), and budgeting (2019-present).
ACTIVITY: Shopping
For the activity of shopping, there is evidence of two recurring transactions: maintaining a Costco
membership and maintaining proof of current car insurance and car ownership. Records of the
subject’s Costco membership are located on their hard drive’s desktop in the FINANCES folder,
in a file called COSTCO, and are saved as PDF files. Records of the subject’s current car
insurance and ownership/maintenance of car are also located on the desktop in the FINANCES
folder, in the MAZDA file, and are saved as PDF records. It can be inferred from these records
that Roth uses their Costco membership to buy bulk groceries at a discounted rate. The records
from the MAZDA file indicate their activity of having shopped for car insurance, on which they now
pay a monthly fee, on the Mazda car that they own and retain a deed of ownership on in their
records.
Risk factors for the storage of these records is high because insuring a vehicle is a legal
requirement of the state of Texas and the subject must keep proof of current insurance in their
vehicle. The subject risks legal fees if involved in an accident or a traffic violation ticket due to
non-compliance with state law. Proof of ownership and insurance of the car is important to the
process of registering one’s vehicle annually, which is also mandated by law. Their partner, family
members, friends, and pets all have a stake in Roth’s function as a consumer.
ACTIVITY: Maintaining Tenancy
For the activity of maintaining tenancy, recurring transactions include knowing (and upholding)
the requirements of the lease agreement in order to be in compliance with the document signed
by the landlord, the subject, and their roommates, and looking for new tenancies with stakeholder
and future roommate Colin Morgan. The lease record is located on the subject’s laptop hard drive
in the FINANCES folder, in the LEASE 2020 file, and is a PDF file. The transaction of looking for
new tenancies is documented through email records exchanged between Roth and their future
roommate (and stakeholder) Colin Morgan regarding creating a new lease agreement. This can
be inferred from the record by the subject heading of the email, which contains an apartment
address (though no filter is applied to this email series, so this was validated the with subject).
Risk for the records is moderate because multiple copies of the lease agreement exist and, in the
event of the loss or destruction of these records, the subject could request an additional copy
from their landlord or roommates. The subject’s housing lease contains stipulations of a binding
legal agreement between the landlord of the rental property and the subject. Because a lease is
a binding contract, failure to comply could impact the subject’s current and possibly future living
arrangements and roommates and some degree of risk is present. The subject would not be able
36
to take legal recourse if the landlord unscrupulously made claims that subject had broken a clause
not present in the original lease or tried to charge higher rent. Lack of knowledge of stipulations
of lease agreement by the subject could result in financial loss in the forms or fines or late fees.

Consumer (2019-present) Shopping (2019-present) Maintaining Costco PDFs of Costco documents
membership (Desktop > FINANCES >
COSTCO)
Maintaining proof of current PDFs of car documents

car insurance and car (Desktop > FINANCES >
ownership MAZDA)
Stakeholders
Mazda
State of Texas
Costco
Risk: High
Insuring a vehicle is a legal requirement in the state of Texas, as is maintaining documentary
proof of being insured. Subject risks legal fees and traffic violation tickets due to non-compliance
with state and federal law.
Maintaining tenancy (2019- knowing requirements of PDF of lease (Desktop >

present) lease FINANCES > LEASE 2020)
looking for new tenancies Emails through Gmail (no

filter applied)
Stakeholders
Roommates Colin Morgan
Landlord
Pets
Risk: Moderate
Lease contains crucial stipulations of binding legal agreement between landlord and subject;
however, multiple copies exist and Roth could request another copy from roommates or landlord.
However, failure to maintain a copy of the lease could result in non-compliance with the
requirements of the lease and financial loss if the management agency levied fines as a result of
the non-compliance.
Budgeting (2019-present) Managing/storing PDFs of bank documents

documentation of financial (Desktop > FINANCES >
assets UFCU AUSTIN)
Stakeholders
University Federal Credit Union
Credit institutions
US government
Risk: Low
The risk to these records is low because, in the event of loss, they can be retrieved from Roth's
online banking platforms. However, loss of these records would still open Roth up to potential
financial loss.
37
VALIDATION OF ANALYSIS WITH SUBJECT
After completing this business classification scheme, we validated our findings in a meeting with
Roth in an effort to discover where our findings depart from the subject’s expectations and feelings
about how and why their records are generated. This will allow for further analysis moving forward
into best practices to maximize Roth’s productivity and organization. Our analysis, as discussed
above, found four functions that Roth fulfills within their business activity. The records provided
sufficient evidence for these functions to be included as part of the subject’s business activity, as
we have already proven. Roth agreed with these findings after some discussion about the
representation of records within their analog files as opposed to their digital files.
One notable departure between our analysis and Roth’s personal thoughts on their business
activity is the categorization of their Teaching Assistantship under the Professional function rather
than the Student function. Roth views this job as an aspect of their Student function rather than
their Professional function due to the fact that if they were not a student, they would not be able
to hold a Teaching Assistantship at The University of Texas. Further, Roth feels that the Teaching
Assistantship does not further their professional development as neither teaching nor the subject
matter of the class fit into Roth’s desired career path. In our analysis, we placed the Teaching
Assistantship within Roth’s Professional function because there are a number of records
generated by this activity that fall within the bounds of the Professional function and we do feel it
furthers her advancement toward career-related goals.
As noted previously, the Professional function includes all activities related to, or in support of,
the career advancement of the subject. In particular, we view the records generated within the
transaction of retaining proof of employment and benefit elections as a distinctly professional
transaction. While Roth stores the files associated with this activity within the GRADUATE
SCHOOL_MSIS folder on their personal computer, a number of records associated with the proof
of employment transaction go through Roth’s email system. Further, Roth receives financial
compensation from this activity, which fall under the employment category. When analyzing the
records without knowledge of Roth’s thoughts on the Teaching Assistantship, it seemed logical to
list the Teaching Assistantship as an activity within the Professional function. Further analysis
should be conducted on this divergence to determine in which function this activity truly belongs
in order to provide accurate and helpful recommendations for organization recommendations.
Our analysis of Roth’s Professional function discussed the lack of tax documents from prior to
2016 saved in digital format. As noted, the federal government recommends maintaining tax
documents for a period of seven years in case of an audit. Roth added that they do retain tax
documents from prior to 2016, but not on any digital platform. Instead, they keep physical copies
of the records. Further analysis should be conducted to deduce the best method for preserving
those records on a long-term basis.
Roth agreed with the remainder of our assessment and noted that though it differed from their
intellectual hierarchical file system at times, the reasoning behind our function categories and
organization were logical and easy to follow. The remaining sections of this analysis have ample
room to reconcile the business classification scheme with Roth’s established file system as well
as addressing the records who are vulnerable to the most risk.
38
DIRKS
STEP E
RED TEAM
Brady Cox & Alyssa Wynans

STEP E: GABRIELLE ROTH
INTRODUCTION
This document takes stock of Roth’s approach to recordkeeping practices. Step A involved
making an inventory of the DIRKS subject’s functions and activities; Step B assessed the records
present in these two systems (static hard drive on subject’s laptop and UT Gmail account); Step
C outlined regulations, requirements, and risks culminating in the creation of a Records Retention
Schedule (RRS); and Step D identified areas in which the subject was either partially compliant
or non-compliant with recordkeeping standards through a gap analysis. In Step E, we expand
on these compliance issues and recommend potential strategies for closing the identified gaps.
This step contains a series of tables identifying step identifying the places in which Roth’s
records, systems, and processes are either non-compliant or partially compliant with the
principles of good recordkeeping systems and lists recommended strategies that fall into four
categories: policy, design, standards, and implementation. In developing these strategies, we
have consulted the InterPares 2 Project documentation released by the University of British
Columbia, which provides guidelines for maintaining digital materials for a company or institution,
and Paradigm’s “Guidance for creators of personal papers” to ensure our strategies are
comprehensive and useful. Analysis of Roth’s records, systems, and processes is subdivided
into discussion of their static hard drive on their laptop and their UT Gmail account. Our tables
provide recommendations for each of these systems individually, though many of the strategies
overlap between systems and record series.
102
RECORDS TABLES
The first set of tables identify strategies to address gaps in recordkeeping practices that were
determined to be partially compliant or non-compliant within the subject’s record series on both
their static hard drive and UT Gmail account. Based on the gap analysis in Step D, for the
subject’s UT Gmail account, we discuss strategies for maintaining records that are compliant
with recordkeeping standards in regard to accuracy and removability. For the subject’s static
hard drive, we discuss strategies for maintaining records that are compliant with recordkeeping
standards in regards to completeness, fixity, integrity, usability, accessibility, and removability.
These tables do not address issues in which the subject’s records are deemed to be compliant
with recordkeeping standards in Step D.
103
104
105
SYSTEMS TABLES
The second set of tables identify strategies to address gaps in recordkeeping practices that were
their static hard drive and UT Gmail account. Based on the gap analysis in Step D, for the
subject’s UT Gmail account, we discuss strategies for utilizing this system in ways that are
compliant, accountable, integrous, secure, trackable, and comprehensive. For the subject’s
static hard drive, we discuss strategies for utilizing this system in ways that are compliant,
accountable, trackable, reliable, comprehensive, and accessible. These tables do not address
issues in which the subject’s systems are deemed to be compliant with recordkeeping standards
in Step D.
106
107
108
109
110
PROCESSES TABLES
The third set of tables identify strategies to address gaps in recordkeeping practices that were
their static hard drive and UT Gmail account. The tables denote the compliance status of the
processes regarding the creation of records with (R) and regarding the use of the two systems
with (S). Based on the gap analysis in Step D, for the subject’s UT Gmail account, we discuss
strategies for maintaining processes that are compliant with recordkeeping standards
concerning capture, appraisal and retention, disposal, storage, data backup, preservation, and
recovery. For the subject’s static hard drive, we discuss strategies for maintaining processes
that are compliant with recordkeeping standards in regard to registration, appraisal and retention,
disposal, storage, data backup, preservation, recovery, and migration.
111
112
113
114
115
DIRKS
STEP F
RED TEAM
Brady Cox & Alyssa Wynans

STEP F: GABRIELLE ROTH
INTRODUCTION
This document takes stock of Roth’s approach to recordkeeping practices. Step A involved
making an inventory of the DIRKS subject’s functions and activities, Step B assessed the records
present in these two systems (static hard drive on subject’s laptop and UT Gmail account), Step
C outlined regulations, requirements, and risks culminating in the creation of a Records Retention
Schedule (RRS), and Step D identified areas in which the subject was either partially compliant
or non-compliant with recordkeeping standards through a gap analysis. In Step E, we expanded
on these compliance issues and recommended potential strategies for closing the identified
gaps. In Step F, we will further explain the strategies we identified, providing detailed
breakdowns regarding the implementation of these strategies as we recommend they are used
by Roth going forward. This step is meant to provide Roth with actionable methods to address
the gaps found in the previous steps of this assessment.
This step constitutes the end of this DIRKS assessment, providing the subject with analysis and
strategies that can be effectively utilized to ensure compliance with good recordkeeping
practices. We are satisfied that when the recommendations be implemented by the subject,
the records will be representative of the subject’s functions in both a professional and
personal capacity. Failure to comply with the recommendations contained in this assessment,
or to find alternative methods of addressing the identified gaps, will result in continued non-
compliance and an inability to maintain good recordkeeping practices.
116
RECORDS
1. Complete
Hard Drive: Partially Compliant
Create and use a standard naming format for digital files.

• Be concise: avoid long and complex file paths.
• Select meaningful names: this facilitates searching and browsing.
• Develop standard naming conventions for the file names of record types you create or
save on a regular basis.
• Avoid capitals or spaces: this can cause problems when moving files between different
computing environments
• Use the format yyyymmdd (e.g. 10 June 2005 = 20050610) for recording dates: that way
your files will be presented chronologically in file management tools.
• Adopt a version control system for drafts (e.g. yyyymmdddocumentname-2.pdf, where -
2 denotes that this is ‘version 2’ of the document). This prevents the embarrassment of
sending the wrong version of a document to others. Drafts are also valuable for
researchers tracing the creative thought process.i
Utilizing the guidelines from the PARADIGM document outlined above, the subject should
implement a renaming of their current files and continue to use the same format for any new files
created after the implementation of the naming standards. For example, in the subject’s folder
for the Records Management course, the syllabus for the course could be saved under a name
such as this: 20200118_recordsmgmtsyllabus.pdf. This naming adheres to the rules laid out in
the PARADIGM, including the ability to find the document easily through both browsing and
searching methods as it will be sorted chronologically but still includes a reference to the class
it is associated with and the function of the document as a syllabus.
2. Fixed
Hard Drive: Non-compliant
Create guidelines/rules for what metadata should be captured upon the creation of a document.
• iOS system automatically captures certain metadata for each file created or saved to the
hard drive. The subject should review the type of metadata being captured under “Get
Info” for each particular file.
117
• Based on what is already captured, the subject should decide what additional metadata
needs to be captured to maintain compliance with fixity standards.
• PARADIGM Pg. 3.
• Add information to the body of digital documents which explains them to a
general audience… Simple information, such as a log of authors, a document
history, and a note about the purpose of a document can be very helpful.
• You can record extra metadata yourself, e.g. keywords or a free-text description.
• For images: if your camera or related software allows you to add metadata to your
images (i.e. information about when and where a photograph was taken, and what
or who it depicts) at point of capture or export, then use this function….consider
saving a simple text file describing the background content of the images (date,
place, people, etc. alongside them.
• When saving documents from the Web for reference purposes, make a note of
their source: web addresses can change and if you want to cite a document in
future it is useful to have a record of where you obtained it from, and when you
last accessed it.
Create guidelines/rules for backing-up documents on external HD and/or iCloud.

• iOS system provides an option for automatic backup of files at regular intervals through
iCloud. If the subject does not use automatic backup for a cloud-based system like
iCloud, they will still need to delete files based on the RRS.
• In addition to daily back-ups to iCloud, the subject will need to move files to an external
hard drive based on the RRS.
•
Utilize iCloud and Time Machine capabilities within iOS software to back-up
• iOS system provides an option for automatic backup of files at regular intervals through
iCloud.
• To use iCloud, go to System Preferences, click on Internet Accounts
• Click on iCloud in the left menu, tick the box that says “iCloud Drive” to enable iCloud
backup.
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• To use Time Machine, go to System Preferences, click on Time Machine, tick the box
that says “Back Up Automatically” to enable Time Machine.
• In addition to backing-up the files daily using iCloud, they should backup documents
based on the RRS to an external hard drive.
• Based on PARADIGM consideration regarding data synchronization software, we
recommend that the subject use iCloud based on the following criteria:ii
o The subject is allowed 5G of free storage
o The service has adequate financial backing that for the time being ensures
continued storage of the subject’s files
o The service is a large corporation and will be able to keep up with the demand
o The ease of use is high as the system is incorporated into the subject’s existing
iOS software
o Apple Inc. offers support to their users here: https://support.apple.com/icloud
3. Integrity
Create sharing and permissions standards for documents.

• The metadata for each file under “Get Info” contains information regarding the sharing
and permissions specifications of the file
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• According to page 6 of InterPARES: The integrity metadata should include:iii

• Names of handling person/office
• Name of person or office with primary responsibility for keeping the materials
• Indication of annotations added to the materials
• Indication of any technical changes to the materials or to the application(s)
responsible for managing and providing access to the materials
• Access restriction code
• Access privileges code
• Vital record code
• Planned disposition
The subject should review the specifications and decide where additional security is required,
such as in the subject’s FINANCES folder on their hard drive.
Enable iOS software to lock records based on decided on standards

• iOS system includes ability to secure files or folders to prevent changes or deletion by
going into the “Get Info” menu and ticking the “Locked” checkbox under the “General”
metadata section.
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Apply sharing and permissions standards to relevant documents.
4. Usability/Accessible
Create file naming structure for records.

• Refer to 1.1 for information on compliant file naming structures for digital records
Utilize the business classification scheme in Part B to organize files and folders according to
function
• Following the example of the image below, use the business classification scheme to
move files and folders so that they are organized starting with function down to the
individual record series for optimum usability.
5. Removable
UT Gmail: Non-compliant
Create an auto-delete schedule for emails/email folders

• The subject should review the RRS in order to decide when emails should be deleted
from the Gmail system.
• Within the Gmail system, the subject set up auto-deletion schedules through their filters.
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o Go to Gmail settings, click the “Filters and Blocked Addresses” tab and then click
on “create a new filter”
o In the “Has the words” input box, type in “older_than:x” where “x” is the time
frame of the messages you want to be deleted. Follow the number with either “d”
for days, “w” for weeks, or “m” for months.
o Click the “create filter”

o Fill in the boxes labeled “delete it” and “also apply filter to” with a check mark by
clicking on them.
122
o Click “create filter”
• Delete sent mail folder monthly
Utilize iCloud to automatically back up records

• Refer to 1.2 for information on utilizing iCloud and creating rules/guidelines for backing-
up records using the RRS as a guide
123
SYSTEMS
1. Compliant
UT Gmail: Partially Compliant
Follow the RRS outlined earlier in DIRKS document

• Based on our analysis of the subject’s recordkeeping expectations, in Part C we created
and proposed a RRS that builds upon the business classification scheme from Part B.
• In this case, following the RRS would mean that Roth disposes of emails in accordance
with the RRS. If the subject follows the RRS concerning the disposal of their emails, then
they will be in compliance.

• Based on our analysis of the subject’s recordkeeping expectations, in Part C we created
and proposed a RRS that builds upon the business classification scheme from Part B.
• If the subject follows the RRS concerning records on their hard drive, their records will
regularly be disposed of or backed-up, ensuring compliance.
2. Accountable

• Refer back to 2.1 for following the RRS outlined in Step C of the DIRKS document.
Follow RRS outlined earlier in DIRKS document.

Create schedule for regularly backing-up records
Regularly back-up records in a non-proprietary format (e.g., PDF) based on back-up schedule
• Refer back to 2.1 for following the RRS outlined in Step C of the DIRKS document.
• Refer back to 1.2 for information on creating and following a schedule for backing-up
files using the RRS as a guide.
3. Integrity/Secure

• Refer back to 2.1 for following the RRS outlined in Step C of the DIRKS document
Follow recommendations for strong password formats

• The Google Help Center offers recommendations for creating strong passwords here:
https://support.google.com/accounts/answer/32040?hl=en
• Google requires passwords to be 8 characters or more with any combination of letters,
numbers, and symbols.
• Additional recommendations include:
o Making your password unique
124
o Making your password longer and more memorable

o Avoid personal info and common wordsiv
Enable two-factor authentication

• On the Gmail webpage, click the “Settings” gear in the top right of the page. Once in
Settings, choose “Account and Imports” then “Change password recovery options.” On
the screen that shows up, you should see the options as shown in the image below:
• After clicking on the arrow on the right of the above image, Gmail will take you to the
page that looks like the image below. Follow the prompts to enable two-factor
authentication for a more secure account.
4. Tracking
Create sharing and permissions standards for documents

Enable iOS software to lock records based on decided standards to ensure that metadata fields
remain fixed
Apply sharing and permissions standards to relevant documents
125
• Refer back to 1.3 for information on enable sharing and permission standards on
individual documents through the iOS software
5. Reliable
Create rules/guidelines for where Roth would like to store back-up records.
Back-up records according to rules/guidelines created for backing-up records.

6. Comprehensive
Utilize iCloud capabilities within iOS software to back-up as necessary.

Back-up records according to iCloud according to the RRS
• Refer back to 1.2 for information on enabling iCloud back up
7. Accessible
Create rules/guidelines for where Roth would like to store back-up records

• Refer back to 1.2 for information on enabling iCloud back-up
Turn on auto-updates to system software to ensure the system is running at optimum capability
• Under “Systems Preferences” on the Mac desktop, go to “Software Update” and tick the
box that says “Automatically keep my Mac up to date”
Back-up records according to rules/guidelines created for backing-up records

126
PROCESSES
1. Capture
Create rules/guidelines for how/where Roth would like to store back-up email records.
from the Gmail system or backed up
Store emails determined to be valuable in the RRS in PDF form for usability and tracking ability
• PDF is a file format widely used for presentation copies of office documents which cannot
be edited by those viewing the file. PDF stands for Portable Document Format (PDF)
which aims to provide a mechanism for representing electronic documents in a manner
that maintains their visual appearance, independent of the tools and systems originally
used for creating, storing and rendering the files.v
• Install the “Save Emails as PDF” add-on inside your google drive
• From the Add-ons menu, go to “save emails, create new rule” and select a Gmail folder
from the dropdown (the script is open-source and does not share data)
• Select a folder in your Google Drive and create the rule. The sheet will start saving your
messages PDFs in drive within an hour. Or go to Save Emails – Manage Rules to instantly
download any Gmail message as PDF in Drive.
• Documents can then be downloaded from Drive and stored on a static hard drive or
uploaded to the cloud for long-term storage.
2. Registration
Create file naming structure for records

• Refer to 1.1 for information on compliant file naming structures for digital records
3. Appraisal and Retention

Create deletion schedule for emails/email folders

• Refer to 1.5 for information on utilizing the auto-deletion scheduler in Gmail.
Follow RRS outlined earlier in DIRKS document

• Refer to 1.2 for information on backing-up files using iCloud and the RRS as a guide
4. Disposal
Create deletion schedule for emails/email folders

127

5. Storage

6. Data Backup, Preservation, and Recovery

Create schedule for migrating and backing up SAA-UT emails and associated files
from the Gmail system or backed up (3.1)
Hard Drive: Partially Compliant; Non-compliant

7. Migration
Hard Drive: Partially Compliant; Non-compliant

files using the iCloud and the RRS as a guide.
Purchase updated external hard drives for long term migration of records as necessary
• PARADIGM Page 7: An external solid state drive is a good option; these are easy to use,
inexpensive and provide sufficient capacity for many people. You could use CD-Rs or
DVD-Rs, but this will be more time consuming and may result in splitting data over several
disks. You should update your removable media as needed; old media can degrade or
become inaccessible as technology evolves.
128
CONCLUSION
Throughout this DIRKS assessment, we have identified areas in which the subject can improve
their current recordkeeping practices to maximize compliance with recordkeeping standards.
Based on the subject’s functions, and the activities and transactions associated with those
functions, we formulated an RRS. We also recommended strategies for implementing the RRS.
We are satisfied that when the recommendations are implemented by the subject, the records
will be representative of the subject’s functions in both a professional and personal capacity.
Failure to comply with the recommendations contained in this assessment or to find alternative
methods of addressing the identified gaps will result in continued gaps in compliance and an
inability to maintain good recordkeeping practices.
One possible hindrance in the implementation of these strategies is the subject’s reluctance to
use cloud-based storage for their files. We have recommended that the subject utilize iCloud as
it is already built-in to the subject’s laptop and provided steps for enabling that software. The
subject may choose not to implement these strategies, increasing the need for regular back-ups
to an external hard drive.
To increase the subject’s knowledge of good recordkeeping strategies, we recommend that they
look into ARMA educational resources at https://www.arma.org/. ARMA provides publications,
resources, and training that are all relevant for enhancing one’s understanding of best practices
for recordkeeping.
i
“Guidance for creators of personal papers.” Paradigm, 2-3.
ii
Ibid. 8.
iii
Duranti, Luciana and Randy Preston. “Making and Maintaining Digital Materials: Guidelines
for Individuals.” InterPARES 2 Project, 6. Vancouver: The University of British Columbia.
iv
Google Help Center. “Create a strong password & a more secure account,” Google,
https://support.google.com/accounts/answer/32040?hl=en
v
“Guidance for creators of personal papers.” 6.
129

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RED TEAM

Brady Cox, Gabrielle Roth,

INF 389R: Introduction to Records

Processes Tables .................................................................................................................... 112

Kaitlyn Tuck & Alyssa Wynans

ACTIVITY: Creating and Editing Assignments, Classwork, Papers, and Projects

ACTIVITY: Attending Classes

ACTIVITY: Communicating with Professors and Student Peers

ACTIVITY: Acting as Vice President of SAA-UT

Function Activities Transaction Records

Completing assigned reading Reading Assignments

Undergrad: Cal State-Long Tracking assignment due Administrative Materials

Attending Classes (2006- Taking notes Word documents (Desktop >

Saving professor PDFs (Desktop >

Notifying professors of missed Emails (in Gmail), SPRING

Checking email system for Emails and canvas

Monitoring Hornslink for Email notifications of

ACTIVITY: Teaching Assignment in the Department of Engineering

Transactions related to Roth’s activity as TA for the Engineering Department at UT as reflected

ACTIVITY: Creating Art

ACTIVITY: Maintaining Certifications

ACTIVITY: Engaging in Career Development Activities

ACTIVITY: Maintaining Static Business Records

ACTIVITY: Filing Taxes

Function Activities Transaction Records

Teaching Lessons plans (Word

Monitoring email for Canvas Emails through Gmail

Attending meetings with Emails through Gmail

Retaining proof of benefit emails through Gmail

Creating Art (2006-present) Maintaining documentation Photos of drawings (jpegs

Photos of paintings (jpegs

Photos of prints (jpegs

Photos of sculpture (jpegs

Photos of studio projects

Photos and videos for use in

Applications to residencies Word documents and PDFs

Responding to commission Words documents, PDFs,

Patrons/People requesting commissions

Current owners of artwork by Gabrielle Roth

Maintaining Certifications (2020) Complete coursework for PDFs of certificate from

Engaging in Career Attend Career Information Email notifications from

Monitor inbox for emails with Listserv email subscriptions

Apply for internships Request letters of

Participating in Special Gmail communication with

Creating professional Word documents and PDFs

Word documents (Desktop

The University of Texas Career Development Office

Maintaining static business Maintaining business Word documents and PDFs

Word documents and PDFs

SGRA – CONTRACTOR >

Word documents and PDFs

Word documents and PDFs

Word documents and PDFs

Word documents and PDFs

Word documents and PDFs

Word documents and PDFs

Maintaining documentation Word documents and PDFs