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In 2008, ISO published ISO/TR 26122:2008.  This technical report describes a framework for conducting a work process analysis for those processes that are used to create and/or manage records.

 It consists of two types of analysis: a functional analysis to break functions into component work processes, and a sequential analysis within each process to identify the flow of information as the transactions progress.

An initial assessment has a number of goals and purposes.  First, it allows the implementation team to understand what the organization looks like in terms of its functional structure.  This might be provided in the form of an organizational chart.  Next, it attempts to determine how the organization actually works.  Often, organization charts are either out-of-date or do not reflect the reality of how work gets done.  The assessment seeks to determine which roles and groups perform which tasks and processes. 

The assessment provides a baseline understanding of existing processes for the rest of the records program and describes the organization “as-is”.  It can be used to identify areas of concern for the records program (and for the organization and its efficient operations, as a whole).  It also helps to prioritize attention and resources on the most critical areas in need of assistance.

There are a number of benefits to conducting this type of assessment before making significant decisions and changes regarding the records program.  First, the assessment helps to identify dependencies between processes and/or transactions.  Some processes and some transactions are isolated and stand alone, but many of them are interdependent – that is, the output of one transaction or process serves as the input to another one.  The assessment can also help to identify what types of records should be created and what information needs to be created or captured as part of the record. 

In some processes, the assessment can be used to isolate the points at which potential records are created or received within those processes. 

The assessment can serve to identify the contextual links between certain records.  This can be useful to determine how best to categorize and classify records.  This is also important because logically categorized and arranged records are easier to manage throughout their lifecycle. 

And finally, the assessment can be used to identify opportunities to integrate records capabilities directly into the process so that records management becomes an integrated part of the flow of the process rather than something that is an additional step, or afterthought.  As with most other analytical processes, you need to start by identifying the stakeholders and getting their buy-in for the assessment process. 

ISO/TR 26122:2008, Information and documentation – Work process analysis for records makesit clear that the first step in any process analysis is to review the context in which the organization operates.  This consists of two steps: a review of the regulatory environment and a review of the operational environment.  Part of this involves documenting any mandatory standards of practice, which might be found in some industry sectors, but not others.

How about voluntary codes of conduct and codes of ethics which the organization has agreed to abide by?  It is important for organizations to adhere to their own rules and procedures – in fact, within records management, generally, there is an argument that can be made that it is better to have no policy at all than to have one and not follow it. 

It is also important to consider community expectations.  This may seem a bit odd, at first glance, but consider that public sector organizations are considered to have a primary responsibility to their citizens and an expectation of openness, transparency, and accountability even where there are no specific statutes.  For private sector organizations, there is an expectation that the organization will not harm the public, or its shareholders, or its employees, even where that harm is simply bad publicity.

This assessment includes an examination at the organizational context of the work processes.  This involves identifying the work processes to be reviewed and whether they take place within a particular department, across departments, or even cross organizational boundaries. 

This review should determine whether the processes are centralized or decentralized and who is responsible for the performance of them – both at the individual staff/transaction level and from a management perspective.  The review concludes by describing the framework that will be used to identify and break down functions, processes, and transactions and how they relate to each other.

ISO/TR 26122:2008 is a worthwhile standard to procure and use.

Has anyone used this standard for their records management assessment within their own organization?

Tell us about your experience in using this standard.