Business-Driven Recordkeeping (BDR) Model

For the complete model in PDF, including definitions, download the file here.

Consultation Draft, August 2007

Introduction: This model of the activities conducted during the management of records throughout their “continuum” was influenced and informed by related work undertaken by the InterPARES 2 Modeling Cross-domain as well as work undertaken by other InterPARES 2 research groups. It incorporates key components of the model of the preservation function that was produced under InterPARES 1. Beyond InterPARES, the model benefited from the results of work conducted through other initiatives such as the digital preservation cluster of the Delos Project, the Clever Metadata Project and Records Continuum research at Monash University in Australia, the work on records management standards in ISO TC46/SC11 (standards: ISO 15489:2001, and ISO 23081-1:2006), and the DIRKS methodology developed by the National Archives of Australia. The Open Archive Information System reference model (OAIS, ISO 14721:2003), which served as the basis for the preservation function model for InterPARES 1, was also used as the basis for the model.

Scope and Perspective: The perspective of the BDR model is on the organization addressing its own ‘business’ within broader juridical, economic and cultural contexts, and the records generated by that business. The viewpoint includes both those records needed for current business and those that need to be retained and preserved for the longer term historical interests of society. The overall intent of the BDR model is to illustrate the nexus between the needs and activities of the business of a given organization and the records generated by those needs and activities and kept by the organization. More than addressing the business and records nexus of a given organization, however, the BDR model also seeks to establish a generic framework that can be used by any organization for managing records as long as required, independent of the specific business context of a given organization, the organizational structure, and the scale or size of the organization (e.g. an incorporated individual, a multi-national private sector organization, a government, etc.). Finally, and in keeping with the ‘continuum’ concepts developed in Australia, the BDR model also accounts for the position of the organization (and its business) within the larger context of ‘society.’

Purpose: Please note that this version of the BDR model should be considered a consultation draft. Although it has been discussed within the InterPARES Project, further discussion from other viewpoints and with other experts is still required so that it can benefit from such dialogue and evolve to a more refined stage. In particular, further work is needed on the definitions, the description of the diagrams and the validation of the model. The model has, for instance, not been validated in the arts and science domains and also needs more testing within administrative environments by doing walkthroughs based on the available and new case studies. The current version has, however, been sufficiently developed to provide insight into the approach taken and an understanding of the underlying concepts. It is based on experience and as such on a logical construction of existing knowledge. It is now offered as an instrument for feedback on which people are encouraged to comment .

Given its perspective (i.e., the business of a given organization or organizations) the BDR model will be of greatest interest not only to records managers but also, and most importantly, to program managers; that is, those managing the “business” of the organization, including those accountable for the fiscal and legal standing of the organization. By illustrating how the management of records is an integral component of the management of any business, the BDR model seeks to break down the barriers that often surround recordkeeping and other business processes. Initially, the BDR model was conceived as a research tool to compliment the COP model during the various phases of the analysis of InterPARES 2 Project case studies, recordkeeping metadata and policy issues. Due in part to its complexity, however, the BDR model was not completed in time to serve this initial purpose. At this point, the BDR model is being promoted as an audit tool for helping organizations identify and isolate the key deficiencies in their current records management frameworks, so that the necessary steps can be taken to institute an effective and comprehensive framework (encompassing legal, juridical, ethical, business, organizational and archival requirements) for records management within an organization.

Methodology: The BDR model was created using both IDEFØ (Integrated Definition Function Modeling) and UML (Unified Modeling Language) modeling software. IDEFØ is a U.S. Information Processing Standard, as described in Publication 183 of the National Institute of Standards and Technology. A function model is a structured representation of the functions, activities and processes within the modeled system or subject area. For an introduction to IDEFØ modeling, see “Integrated Definition Function Modeling (IDEFØ): A Primer.” For more detailed information, see http://www.idef.com. To ensure that the modeling work captured essential aspects of the record continuum and its management, UML class diagrams were also developed at a high level. UML class diagrams offered an object-oriented view that complemented the function-oriented view of IDEFØ. UML uses a standardized graphical notation to represent classes of objects (including digital objects or artefacts but also the organizational and societal elements, instruments and constructs), along with their supporting information, expressing their interrelationships, characteristics and operations or behaviours. For more detailed information about UML, see http://www.uml.org/.

Composition: The BDR IDEFØ model consists of a series of diagrams depicting all the activities involved in the continuum management of digital records together with a glossary of all the terms appearing on the diagrams. To understand the model in this form, interested parties should consult the accompanying narrative as well as carefully read the glossary definitions of terms used on the diagrams.

Acknowledgements: Many InterPARES researchers contributed to this model. It was produced from December 2003 to July 2007 by Hans Hofman, with valuable contributions from researchers Babak Hamidzadeh, Ken Hawkins, William T. Underwood and John McDonald, and research assistants Randy Preston and Brian Trembath.