SIST-TP ISO/TR 26122:2014
Information and documentation -- Work process analysis for records
Information and documentation -- Work process analysis for records
This Technical Report provides guidance on work process analysis from the perspective of the creation,
capture and control of records.
It identifies two types of analyses, namely
a) functional analysis (decomposition of functions into processes), and
b) sequential analysis (investigation of the flow of transactions).
Each analysis entails a preliminary review of context (i.e. mandate and regulatory environment) appropriate
for the analysis. The components of the analysis can be undertaken in various combinations and in a different
order from that described here, depending on the nature of the task, the scale of the project, and the purpose
of the analysis. Guidance provided in the form of lists of questions/matters to be considered under each
element of the analysis is also included.
This Technical Report describes a practical application of the theory outlined in ISO 15489. As such, it is
independent of technology (i.e. can be applied regardless of the technological environment), although it can
be used to assess the adequacy of technical tools that support an organization's work processes.
This Technical Report focuses on existing work processes rather than on facilitating “workflow” (i.e. the
automation of a business process in whole or part, during which documents, information or tasks are passed
from one participant to another for action, according to a set of procedural rules as outlined in Reference [1] of
the Bibliography).
Information et documentation -- Analyse des processus pour le gestion des informations et documents d'activité
L'ISO/TR 26122:2008 fournit un guide d'analyse des processus depuis la cr�ation, la capture et le contr�le des documents d'activit�.
Il identifie deux types d'analyse, nomm�es:
a) analyse fonctionnelle (d�composition des fonctions en processus), et
b) analyse s�quentielle (analyse du flux des transactions).
Chaque analyse implique un examen pr�liminaire du contexte appropri� (c'est-�-dire responsabilit� et environnement r�glementaire). Les composantes de l'analyse peuvent �tre r�alis�es en combinaisons diverses et dans un ordre diff�rent de celui d�crit ici, selon la nature de la t�che, l'�chelle du projet et l'objet de l'analyse. Ce rapport int�gre aussi des conseils sous forme de listes de questions ou �l�ments � consid�rer pour chaque partie de l'analyse.
L'ISO/TR 26122:2008 d�crit une application pratique de la th�orie d�crite dans l'ISO 15489. Ainsi, il est ind�pendant de la technologie (c'est-�-dire qu'il peut �tre appliqu� ind�pendamment de l'environnement technologique), bien qu'il puisse �tre utilis� pour �valuer l'ad�quation des outils utilis�s pour conduire les activit�s de l'organisme.
L'ISO/TR 26122:2008 se concentre sur des processus existants plut�t que des �workflows� (c'est-�-dire, l'automatisation de tout ou partie d'un processus, pendant lequel des informations et documents d'activit�s ou des t�ches sont transf�r�s d'un participant � un autre pour action, selon un ensemble de r�gles.
Informatika in dokumentacija - Postopek analize zapisov
To tehnično poročilo zagotavlja napotke za postopek analize z vidika ustvarjanja,
zajemanja in nadzorovanja zapisov.
Določa dve vrsti analiz, tj.
a) funkcionalno analizo (razdelitev funkcij na postopke) in
b) zaporedno analizo (preiskava toka transakcij).
Vsaka analiza zajema prehodni pregled konteksta (tj. mandat in regulativno okolje), kot je ustrezno za analizo. Komponente analize se lahko izvajajo v različnih kombinacijah in v drugačnem vrstnem redu, kot je opisano tu, odvisno od narave naloge, obsega projekta ter namena analize. Vključeni so tudi napotki v obliki seznamov vprašanj/zadev, ki jih je treba obravnavati v okviru vsakega elementa analize.
To tehnično poročilo opisuje praktično uporabo teorije iz standarda ISO 15489. Kot tako je
neodvisno od tehnologije (tj. lahko se uporabi ne glede na tehnološko okolje), čeprav se lahko uporabi za oceno ustreznosti tehničnih orodij, ki podpirajo postopke organizacije.
To tehnično poročilo se osredotoča na obstoječe postopke in ne na omogočanje »delovnega toka« (tj.
celotna ali delna avtomatizacija poslovnega procesa, med katerim se dokumenti, informacije ali naloge posredujejo od enega udeleženca do drugega, da se ukrepa v zvezi z njimi, v skladu s sklopom postopkovnih pravil iz reference [1] iz oddelka Literatura).
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TECHNICAL ISO/TR
REPORT 26122
First edition
2008-06-15
Information and documentation — Work
process analysis for records
Information et documentation — Analyse du processus des «records»
Reference number
ISO/TR 26122:2008(E)
©
ISO 2008
---------------------- Page: 1 ----------------------
ISO/TR 26122:2008(E)
PDF disclaimer
This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but
shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In
downloading this file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat
accepts no liability in this area.
Adobe is a trademark of Adobe Systems Incorporated.
Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation
parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In
the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below.
COPYRIGHT PROTECTED DOCUMENT
© ISO 2008
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or
ISO's member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland
ii © ISO 2008 – All rights reserved
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ISO/TR 26122:2008(E)
Contents Page
Foreword. iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions. 2
4 Undertaking work process analysis . 2
4.1 General. 2
4.2 Records dimension of work process analysis . 3
4.3 Scope and scale of work process analysis.3
4.4 Participants and validation . 4
4.5 Responsibilities . 4
5 Contextual review . 5
5.1 General. 5
5.2 Outcomes of the contextual review . 6
6 Functional analysis. 6
6.1 General. 6
6.2 Analysis of the functions . 7
7 Sequential analysis. 8
7.1 General. 8
7.2 Identifying the sequence of transactions in a process. 10
7.3 Outcomes of the analysis of the sequence of transactions in a process. 10
7.4 Identifying and analysing the variations to the process . 10
7.5 Outcomes of the analysis of variations to the process. 11
7.6 Establishing the rules governing the identified constituent transactions . 11
7.7 Outcomes of the analysis of the rules base for transactions . 12
7.8 Identifying the links to other processes. 12
7.9 Outcomes of the analysis of the links to other processes. 13
8 Validating the analysis of the work process with the participants. 13
8.1 General. 13
8.2 Validation process. 14
8.3 Outcomes of the validation with the participants . 14
Bibliography . 15
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ISO/TR 26122:2008(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that
which is normally published as an International Standard (“state of the art”, for example), it may decide by a
simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely
informative in nature and does not have to be reviewed until the data it provides are considered to be no
longer valid or useful.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 26122 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
iv © ISO 2008 – All rights reserved
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ISO/TR 26122:2008(E)
Introduction
All organizations, regardless of their size or the nature of their business, exist and act to achieve certain goals
and objectives. To realize its own specific goals and objectives, each organization will determine and apply
appropriate work processes which constitute the organization's business.
Every organization generates records from its work processes. These records constitute evidence of the
organization's goals and objectives, of its decisions and of its transactions. To fully understand these
“business records”, it is necessary to understand the work processes that generated them. This understanding
can also be used to identify the records that should be generated from work processes and to manage them
through time as assets of the organization.
Work process analysis for records is undertaken to determine the requirements for records creation, capture
and control. It describes and analyses what happens in a function in a specific business context. It cannot take
place in the abstract but is dependent on accurate information gathering and a well-grounded understanding
of the organization's context and mission.
This Technical Report is intended for:
⎯ records professionals (or persons assigned within an organization for managing records) responsible for
creating and managing records in either a business system or dedicated records application software;
⎯ system/business analysts responsible for designing business processes and/or systems that will create or
manage records.
For the purposes of this Technical Report, work process analysis involves identifying:
a) the relationship between work processes and their business context;
b) the relationship between work processes and the rules governing their application (as derived from the
relevant regulatory environment);
c) the hierarchical decomposition of work processes into their component or constituent parts; and
d) the sequential interdependence between discrete work processes or single transactions
Analysis of work processes for the purposes of creation and control of records serves to:
⎯ provide a clear identification of records creation requirements, facilitating automatic capture and
management of records as the work is performed; and
⎯ define business contextual links between records, and thereby lead to their logical arrangement and
grouping, thus ensuring clear documentation of work processes and facilitating retrieval, retention and
disposition of the records based on knowledge of the business.
Work process analysis supports the integration of the capture of records as the work is undertaken.
Processing orders and accounts, payment of wages, managing assets, stock control or quality assurance
systems and contract management are examples of work processes in which the creation of records is
normally integrated with processing the transactions. Integrating records processes into automation protocols
applied to work processes will ensure that organizations' records are created, captured and controlled
systematically in their business systems.
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TECHNICAL REPORT ISO/TR 26122:2008(E)
Information and documentation — Work process analysis for
records
1 Scope
This Technical Report provides guidance on work process analysis from the perspective of the creation,
capture and control of records.
It identifies two types of analyses, namely
a) functional analysis (decomposition of functions into processes), and
b) sequential analysis (investigation of the flow of transactions).
Each analysis entails a preliminary review of context (i.e. mandate and regulatory environment) appropriate
for the analysis. The components of the analysis can be undertaken in various combinations and in a different
order from that described here, depending on the nature of the task, the scale of the project, and the purpose
of the analysis. Guidance provided in the form of lists of questions/matters to be considered under each
element of the analysis is also included.
This Technical Report describes a practical application of the theory outlined in ISO 15489. As such, it is
independent of technology (i.e. can be applied regardless of the technological environment), although it can
be used to assess the adequacy of technical tools that support an organization's work processes.
This Technical Report focuses on existing work processes rather than on facilitating “workflow” (i.e. the
automation of a business process in whole or part, during which documents, information or tasks are passed
from one participant to another for action, according to a set of procedural rules as outlined in Reference [1] of
the Bibliography).
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO 15489-1:2001, Information and documentation — Records management — Part 1: General
ISO/TR 15489-2:2001, Information and documentation — Records management — Part 2: Guidelines
ISO 23081-1:2006, Information and documentation — Records management processes — Metadata for
records — Part 1: Principles
ISO/TS 23081-2:2007, Information and documentation — Records management processes — Metadata for
records — Part 2: Conceptual and implementation issues
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ISO/TR 26122:2008(E)
3 Terms and definitions
For the purpose of this document, the terms and definitions given in ISO 15489-1 and ISO 15489-2,
ISO 23081-1 and ISO 23081-2, and the following apply.
3.1
documentation
collection of documents describing operations, instructions, decisions, procedures and business rules related
to a given function, process or transaction
3.2
functional analysis
grouping together of all the processes undertaken to achieve a specific, strategic, goal of an organization,
which uncovers relationships between functions, processes and transactions which have implications for
managing records
3.3
sequence
series of transactions connected by the requirement that undertaking a later transaction is dependent on
completing earlier transactions
3.4
sequential analysis
sequential analysis maps a business process in a linear and/or chronological sequence which reveals the
dependent relationships between the constituent transactions
3.5
transaction
smallest unit of a work process consisting of an exchange between two or more participants or systems
3.6
work process
work process is one or more sequences of transactions required to produce an outcome that complies with
governing rules
4 Undertaking work process analysis
4.1 General
Work process analysis for records is employed to gather information about the transactions, processes and
functions of an organization to identify the requirements of records creation, capture and control.
There are two approaches to undertaking work process analysis:
a) functional;
b) sequential.
Before selecting either analysis or a combination, the purpose of the records project, the scope and scale of
the project and the organizational context (contextual review, see Clause 5) of the work to be analysed needs
to be determined.
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ISO/TR 26122:2008(E)
4.2 Records dimension of work process analysis
Work process analysis is the foundation needed for the following processes used for creation, capture and
control of records:
a) identification of records requirements to document a function or other aggregates of processes;
b) development of function-based classification schemes for identification, location and linking of related
records;
c) maintenance of links between records and the context of their creation;
d) development of naming and indexing rules and conventions to ensure maintenance of identification of
records over time;
e) identification of ownership of records over time;
f) determination of appropriate retention periods for records and development of records disposition
authorities;
g) analysis of risk management in records system context;
h) determination of appropriate security protection for records and development of access permissions and
security levels.
4.3 Scope and scale of work process analysis
The two analyses may be undertaken in various combinations and scaled depending upon the scope of the
task. The analysis can be scaled to meet various requirements, i.e. from a comprehensive identification and
analysis of all functions of an organization down to the micro-level analysis of a particular process in a single
business unit. The scale and level of detail used will depend on the organization's risk assessment and the
purpose of the records management task.
Functional analysis uses a top-down analytical method which begins with organizational goals and strategies
and may descend to the analysis of transactions. It can be used across more than one organization (within
one or more jurisdictions), within one organization, or one division of an organization responsible for a function.
Sequential analysis can be scaled to analyse processes across a whole organization, across one or more
organizations, (within one or more jurisdictions), or within a division, or a single business unit. It can be used
to analyse an aggregate of processes, the transactions which make up a single process, or a single
transaction down to the keystrokes, depending on the purpose of the analysis.
For the purposes of this Technical Report, the hierarchy of terms defined in Table 1 is used.
NOTE Many jurisdictions use different terms to designate the logical levels of analysis of a function. In some cases,
jurisdictions or organizations can choose to identify different or additional levels in the decomposition of function to
transaction. Both the number of levels, and points at which they are identified, depend on jurisdictional practice and on the
scope and scale of the work process analysis project itself. Terms such as “sub-function”, “activity” and “action” can be
used but have not been employed in this Technical Report in part to facilitate implementation.
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ISO/TR 26122:2008(E)
Table 1 — Hierarchy of terms
Term Source Example 1 Example 2
(in a university) (in a medical practice)
Function ISO/TS 23081-2:2007 Research Patient services
Aggregate of This Technical Report Funding of research Examination, diagnosis and
processes treatment of patients
Process ISO/TS 23081-2:2007 Approval of research grant Examination of a patient
applications
Transaction ISO/TS 23081-2:2007 Submitting an application for a Providing a prescription for drugs
research grant for a patient
Functional analysis will be emphasized when developing a function-based classification scheme for a whole
organization, particularly to identify the higher levels of the scheme. Sequential analysis will be emphasized
when resolving issues of records creation, capture and control in a single process or a single business unit of
an organization.
When undertaking work process analysis for a specific records project, the following questions should be
asked.
Is the records project concerned with
a) a single transaction in a process?
b) a single process in a business unit?
c) a number of related processes (an aggregate of processes) in a division of an organization?
d) a whole function as it is executed across one or more organizations?
e) a functional analysis of the whole organization?
4.4 Participants and validation
Work process analysis for the purposes of creation, capture and control of records is specific. It describes and
analyses processes taking place in organizations in real time and is dependent on accurate information
gathering. The participants in the work process are a key source of that information and an important
reference for validation of its accuracy.
Reviewing the role of participants in a process (for example, from job descriptions) also facilitates work
process analysis. The nature of their participation (for example, advice and guidance, authorization,
processing, evaluation, audit) can indicate steps in the process as well as the point at which the steps are
undertaken.
Validation is key to the success of work process analysis, to gain acceptance of the findings of the analysis
and collaboration in implementing recommendations. Validation depends upon participants' confirming that
the findings of the analysis are comprehensive, accurate and reliable.
4.5 Responsibilities
The head of an organization is responsible for the performance of the organization and for how the
organization undertakes its business and conducts its work processes.
Responsibility for records arising from work processes rests primarily with the manager delegated with the
operational responsibility and accountability for the business being undertaken. Adequate records are
essential to enabling the accountability, risk management and monitoring aspects of managers'
responsibilities.
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ISO/TR 26122:2008(E)
Responsibility for records arising from any specific work process includes the documentation of the business
rules, procedures and guidelines which govern that process. Maintenance and updating of documentation of
the business rules and procedures specific to a work process is a managerial responsibility. Establishing
procedures that ensure the work process analysis is updated when there are major changes in a work process
is likewise a managerial responsibility.
Individuals in an organization have different roles and responsibilities over time which should be tracked as
part of the contextual information necessary for ensuring the records arising from the work processes they
undertake remain meaningful.
5 Contextual review
5.1 General
All work process analysis should start with a review of the context within which the organization conducts its
business, i.e. a review of the regulatory environment, and of the organizational context in which the work
processes take place.
NOTE For further guidance when undertaking contextual review, see ISO 15489-1:2001, Clause 5, 8.4 a) to 8.4 c) as
well as ISO/TR 15489-2:2001, 3.2.
The regulatory environment within which an organization operates consists of the international and national
legislation which impacts on the way an organization conducts its business, the business rules, mandatory
standards, voluntary codes, agreements, practices, and community expectations, etc. with which the
organization should comply. The hierarchy of elements involved in reviewing the regulatory environment
include:
a) statue and case law and regulations governing the sector-specific and general business environment;
b) mandatory standards of practice;
c) voluntary codes of best practice;
d) codes of conduct and ethics;
e) identifiable expectations of the community;
f) domain or organization policy directives; and
g) organization rules and procedures.
For public sector organizations, legislation or policy sets out expectations regarding the functions and
processes to be undertaken by a particular organization. For non-public sector organizations, these
expectations will be articulated in a business prospectus, mission statement or constitution that indicates what
the organization is constituted to do or accomplish.
A review of the organizational context locates work processes within, or across one or more organizations. It
establishes the architecture of the function or process (e.g. whether centralized or decentralized) and the
accountabilities for the performance of the function or processes. It identifies the framework for situating
functions, processes and individual transactions within an organization, and for defining how they relate to one
another, an exercise that achieves precision through functional and sequential analysis (see Clauses 6 and 7).
When undertaking work process analysis, contextual review should accurately reflect, at the highest level, the
regulatory environment and organizational context that authorizes the work process. If the scope of work
process analysis is limited to a specific process, the scope of the contextual review should extend only to the
specific policies, procedures or rules which govern that specific process. Conversely, if the scope of the work
process analysis encompasses an entire function, the scope of the corresponding contextual review should
extend to all elements of the related regulatory environment and organizational context.
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ISO/TR 26122:2008(E)
Table 2 lists a number of questions to ask when undertaking a contextual review.
Table 2 — Contextual review
Reference
Question
No.
1 What legislation or mission statement specifically governs the work process being reviewed?
2 What other legal requirements have an impact upon or influence the function or process?
3 Are there mandatory standards or regulations with which the function or process is required to comply?
4 Are there organizational rules, codes of practice or conduct relevant to the function or process(es)?
5 What are the specific procedures which govern the process(es)?
6 What community expectations might impact on or influence a function or process(es)?
7 Where are the processes located in the organization (i.e. centralized or decentralized, across more than
one organization, across more than one jurisdiction)?
8 To whom is the manager responsible for the process(es) accountable, and for what key outcomes?
9 Which participants in the organization(s) are involved in the process(es) and where are they located?
5.2 Outcomes of the contextual review
The principal elements of the regulatory environment and organizational context, in relation to the work
process, being analysed, are identified and documented. This provides the foundation for undertaking
functional and sequential analysis.
6 Functional analysis
6.1 General
Functions are identified in relation to the goals of the organization. They may be defined as processes
grouped together because they are directed to a specific strategic goal. Functions should generally be
exclusive categories and should be represented once only in the analysis even though their constituent
processes may be performed in several parts of the organization.
NOTE There can be several hierarchical layers within this grouping, depending on how jurisdictions or organizations
choose to break down functions. These layers can be called sub-functions, activities, actions, etc., but in this Technical
Report they are named collectively “aggregates of processes”.
Functional analysis is a top-down form of analysis starting with the strategic goals and purpose of an
organization, identifying the programs, projects and processes employed to achieve them and breaking those
programs, projects and processes down to the level appropriate to reveal the relationships between them.
It is recommended that functional analysis be undertaken independently of the organizational structure, as the
function may be exercised in more than one location within, or across one or more organizations.
6 © ISO 2008 – All rights reserved
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ISO/TR 26122:2008(E)
6.2 Analysis of the functions
6.2.1 Basic steps of functional analysis
The basic steps for undertaking functional analysis include the following.
a) Identification of the goals and strategies of the organization.
The identification of the goals and general strategies of an organization typically draws upon the
contextual review and the establishing instruments of the organization, its public reports (annual reports,
strategic planning documents, annual accounts) and internal planning and budget documentation such as
the corporate plan (see Clause 5). Any existing documentation providing an analysis of the organization's
function(s) should also be consulted.
b) Determination of the functions of the organization by which these goals are achieved.
Functions are identified by grouping the processes directed to each specific goal. Determining the
functions of an organization is a two-way task, analysing from the top down the goals of the organization
and researching and analysing the processes to group them in relation to the goals and strategies.
c) Identification of the processes of the organization which constitute these functions.
All processes should be accounted for when undertaking a functional analysis of the whole of an
organization. Processes, unlike functions, may recur in the analysis, because the same processes can be
performed in several parts of the organization, or across more than one orga
...
SLOVENSKI STANDARD
SIST-TP ISO/TR 26122:2014
01-december-2014
Informatika in dokumentacija - Postopek analize zapisov
Information and documentation -- Work process analysis for records
Information et documentation -- Analyse des processus pour le gestion des informations
et documents d'activité
Ta slovenski standard je istoveten z: ISO/TR 26122:2008
ICS:
01.140.20 Informacijske vede Information sciences
SIST-TP ISO/TR 26122:2014 en,fr
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST-TP ISO/TR 26122:2014
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SIST-TP ISO/TR 26122:2014
TECHNICAL ISO/TR
REPORT 26122
First edition
2008-06-15
Information and documentation — Work
process analysis for records
Information et documentation — Analyse du processus des «records»
Reference number
ISO/TR 26122:2008(E)
©
ISO 2008
---------------------- Page: 3 ----------------------
SIST-TP ISO/TR 26122:2014
ISO/TR 26122:2008(E)
PDF disclaimer
This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but
shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In
downloading this file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat
accepts no liability in this area.
Adobe is a trademark of Adobe Systems Incorporated.
Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation
parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In
the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below.
COPYRIGHT PROTECTED DOCUMENT
© ISO 2008
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or
ISO's member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland
ii © ISO 2008 – All rights reserved
---------------------- Page: 4 ----------------------
SIST-TP ISO/TR 26122:2014
ISO/TR 26122:2008(E)
Contents Page
Foreword. iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions. 2
4 Undertaking work process analysis . 2
4.1 General. 2
4.2 Records dimension of work process analysis . 3
4.3 Scope and scale of work process analysis.3
4.4 Participants and validation . 4
4.5 Responsibilities . 4
5 Contextual review . 5
5.1 General. 5
5.2 Outcomes of the contextual review . 6
6 Functional analysis. 6
6.1 General. 6
6.2 Analysis of the functions . 7
7 Sequential analysis. 8
7.1 General. 8
7.2 Identifying the sequence of transactions in a process. 10
7.3 Outcomes of the analysis of the sequence of transactions in a process. 10
7.4 Identifying and analysing the variations to the process . 10
7.5 Outcomes of the analysis of variations to the process. 11
7.6 Establishing the rules governing the identified constituent transactions . 11
7.7 Outcomes of the analysis of the rules base for transactions . 12
7.8 Identifying the links to other processes. 12
7.9 Outcomes of the analysis of the links to other processes. 13
8 Validating the analysis of the work process with the participants. 13
8.1 General. 13
8.2 Validation process. 14
8.3 Outcomes of the validation with the participants . 14
Bibliography . 15
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SIST-TP ISO/TR 26122:2014
ISO/TR 26122:2008(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that
which is normally published as an International Standard (“state of the art”, for example), it may decide by a
simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely
informative in nature and does not have to be reviewed until the data it provides are considered to be no
longer valid or useful.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 26122 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
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Introduction
All organizations, regardless of their size or the nature of their business, exist and act to achieve certain goals
and objectives. To realize its own specific goals and objectives, each organization will determine and apply
appropriate work processes which constitute the organization's business.
Every organization generates records from its work processes. These records constitute evidence of the
organization's goals and objectives, of its decisions and of its transactions. To fully understand these
“business records”, it is necessary to understand the work processes that generated them. This understanding
can also be used to identify the records that should be generated from work processes and to manage them
through time as assets of the organization.
Work process analysis for records is undertaken to determine the requirements for records creation, capture
and control. It describes and analyses what happens in a function in a specific business context. It cannot take
place in the abstract but is dependent on accurate information gathering and a well-grounded understanding
of the organization's context and mission.
This Technical Report is intended for:
⎯ records professionals (or persons assigned within an organization for managing records) responsible for
creating and managing records in either a business system or dedicated records application software;
⎯ system/business analysts responsible for designing business processes and/or systems that will create or
manage records.
For the purposes of this Technical Report, work process analysis involves identifying:
a) the relationship between work processes and their business context;
b) the relationship between work processes and the rules governing their application (as derived from the
relevant regulatory environment);
c) the hierarchical decomposition of work processes into their component or constituent parts; and
d) the sequential interdependence between discrete work processes or single transactions
Analysis of work processes for the purposes of creation and control of records serves to:
⎯ provide a clear identification of records creation requirements, facilitating automatic capture and
management of records as the work is performed; and
⎯ define business contextual links between records, and thereby lead to their logical arrangement and
grouping, thus ensuring clear documentation of work processes and facilitating retrieval, retention and
disposition of the records based on knowledge of the business.
Work process analysis supports the integration of the capture of records as the work is undertaken.
Processing orders and accounts, payment of wages, managing assets, stock control or quality assurance
systems and contract management are examples of work processes in which the creation of records is
normally integrated with processing the transactions. Integrating records processes into automation protocols
applied to work processes will ensure that organizations' records are created, captured and controlled
systematically in their business systems.
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TECHNICAL REPORT ISO/TR 26122:2008(E)
Information and documentation — Work process analysis for
records
1 Scope
This Technical Report provides guidance on work process analysis from the perspective of the creation,
capture and control of records.
It identifies two types of analyses, namely
a) functional analysis (decomposition of functions into processes), and
b) sequential analysis (investigation of the flow of transactions).
Each analysis entails a preliminary review of context (i.e. mandate and regulatory environment) appropriate
for the analysis. The components of the analysis can be undertaken in various combinations and in a different
order from that described here, depending on the nature of the task, the scale of the project, and the purpose
of the analysis. Guidance provided in the form of lists of questions/matters to be considered under each
element of the analysis is also included.
This Technical Report describes a practical application of the theory outlined in ISO 15489. As such, it is
independent of technology (i.e. can be applied regardless of the technological environment), although it can
be used to assess the adequacy of technical tools that support an organization's work processes.
This Technical Report focuses on existing work processes rather than on facilitating “workflow” (i.e. the
automation of a business process in whole or part, during which documents, information or tasks are passed
from one participant to another for action, according to a set of procedural rules as outlined in Reference [1] of
the Bibliography).
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO 15489-1:2001, Information and documentation — Records management — Part 1: General
ISO/TR 15489-2:2001, Information and documentation — Records management — Part 2: Guidelines
ISO 23081-1:2006, Information and documentation — Records management processes — Metadata for
records — Part 1: Principles
ISO/TS 23081-2:2007, Information and documentation — Records management processes — Metadata for
records — Part 2: Conceptual and implementation issues
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3 Terms and definitions
For the purpose of this document, the terms and definitions given in ISO 15489-1 and ISO 15489-2,
ISO 23081-1 and ISO 23081-2, and the following apply.
3.1
documentation
collection of documents describing operations, instructions, decisions, procedures and business rules related
to a given function, process or transaction
3.2
functional analysis
grouping together of all the processes undertaken to achieve a specific, strategic, goal of an organization,
which uncovers relationships between functions, processes and transactions which have implications for
managing records
3.3
sequence
series of transactions connected by the requirement that undertaking a later transaction is dependent on
completing earlier transactions
3.4
sequential analysis
sequential analysis maps a business process in a linear and/or chronological sequence which reveals the
dependent relationships between the constituent transactions
3.5
transaction
smallest unit of a work process consisting of an exchange between two or more participants or systems
3.6
work process
work process is one or more sequences of transactions required to produce an outcome that complies with
governing rules
4 Undertaking work process analysis
4.1 General
Work process analysis for records is employed to gather information about the transactions, processes and
functions of an organization to identify the requirements of records creation, capture and control.
There are two approaches to undertaking work process analysis:
a) functional;
b) sequential.
Before selecting either analysis or a combination, the purpose of the records project, the scope and scale of
the project and the organizational context (contextual review, see Clause 5) of the work to be analysed needs
to be determined.
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4.2 Records dimension of work process analysis
Work process analysis is the foundation needed for the following processes used for creation, capture and
control of records:
a) identification of records requirements to document a function or other aggregates of processes;
b) development of function-based classification schemes for identification, location and linking of related
records;
c) maintenance of links between records and the context of their creation;
d) development of naming and indexing rules and conventions to ensure maintenance of identification of
records over time;
e) identification of ownership of records over time;
f) determination of appropriate retention periods for records and development of records disposition
authorities;
g) analysis of risk management in records system context;
h) determination of appropriate security protection for records and development of access permissions and
security levels.
4.3 Scope and scale of work process analysis
The two analyses may be undertaken in various combinations and scaled depending upon the scope of the
task. The analysis can be scaled to meet various requirements, i.e. from a comprehensive identification and
analysis of all functions of an organization down to the micro-level analysis of a particular process in a single
business unit. The scale and level of detail used will depend on the organization's risk assessment and the
purpose of the records management task.
Functional analysis uses a top-down analytical method which begins with organizational goals and strategies
and may descend to the analysis of transactions. It can be used across more than one organization (within
one or more jurisdictions), within one organization, or one division of an organization responsible for a function.
Sequential analysis can be scaled to analyse processes across a whole organization, across one or more
organizations, (within one or more jurisdictions), or within a division, or a single business unit. It can be used
to analyse an aggregate of processes, the transactions which make up a single process, or a single
transaction down to the keystrokes, depending on the purpose of the analysis.
For the purposes of this Technical Report, the hierarchy of terms defined in Table 1 is used.
NOTE Many jurisdictions use different terms to designate the logical levels of analysis of a function. In some cases,
jurisdictions or organizations can choose to identify different or additional levels in the decomposition of function to
transaction. Both the number of levels, and points at which they are identified, depend on jurisdictional practice and on the
scope and scale of the work process analysis project itself. Terms such as “sub-function”, “activity” and “action” can be
used but have not been employed in this Technical Report in part to facilitate implementation.
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Table 1 — Hierarchy of terms
Term Source Example 1 Example 2
(in a university) (in a medical practice)
Function ISO/TS 23081-2:2007 Research Patient services
Aggregate of This Technical Report Funding of research Examination, diagnosis and
processes treatment of patients
Process ISO/TS 23081-2:2007 Approval of research grant Examination of a patient
applications
Transaction ISO/TS 23081-2:2007 Submitting an application for a Providing a prescription for drugs
research grant for a patient
Functional analysis will be emphasized when developing a function-based classification scheme for a whole
organization, particularly to identify the higher levels of the scheme. Sequential analysis will be emphasized
when resolving issues of records creation, capture and control in a single process or a single business unit of
an organization.
When undertaking work process analysis for a specific records project, the following questions should be
asked.
Is the records project concerned with
a) a single transaction in a process?
b) a single process in a business unit?
c) a number of related processes (an aggregate of processes) in a division of an organization?
d) a whole function as it is executed across one or more organizations?
e) a functional analysis of the whole organization?
4.4 Participants and validation
Work process analysis for the purposes of creation, capture and control of records is specific. It describes and
analyses processes taking place in organizations in real time and is dependent on accurate information
gathering. The participants in the work process are a key source of that information and an important
reference for validation of its accuracy.
Reviewing the role of participants in a process (for example, from job descriptions) also facilitates work
process analysis. The nature of their participation (for example, advice and guidance, authorization,
processing, evaluation, audit) can indicate steps in the process as well as the point at which the steps are
undertaken.
Validation is key to the success of work process analysis, to gain acceptance of the findings of the analysis
and collaboration in implementing recommendations. Validation depends upon participants' confirming that
the findings of the analysis are comprehensive, accurate and reliable.
4.5 Responsibilities
The head of an organization is responsible for the performance of the organization and for how the
organization undertakes its business and conducts its work processes.
Responsibility for records arising from work processes rests primarily with the manager delegated with the
operational responsibility and accountability for the business being undertaken. Adequate records are
essential to enabling the accountability, risk management and monitoring aspects of managers'
responsibilities.
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Responsibility for records arising from any specific work process includes the documentation of the business
rules, procedures and guidelines which govern that process. Maintenance and updating of documentation of
the business rules and procedures specific to a work process is a managerial responsibility. Establishing
procedures that ensure the work process analysis is updated when there are major changes in a work process
is likewise a managerial responsibility.
Individuals in an organization have different roles and responsibilities over time which should be tracked as
part of the contextual information necessary for ensuring the records arising from the work processes they
undertake remain meaningful.
5 Contextual review
5.1 General
All work process analysis should start with a review of the context within which the organization conducts its
business, i.e. a review of the regulatory environment, and of the organizational context in which the work
processes take place.
NOTE For further guidance when undertaking contextual review, see ISO 15489-1:2001, Clause 5, 8.4 a) to 8.4 c) as
well as ISO/TR 15489-2:2001, 3.2.
The regulatory environment within which an organization operates consists of the international and national
legislation which impacts on the way an organization conducts its business, the business rules, mandatory
standards, voluntary codes, agreements, practices, and community expectations, etc. with which the
organization should comply. The hierarchy of elements involved in reviewing the regulatory environment
include:
a) statue and case law and regulations governing the sector-specific and general business environment;
b) mandatory standards of practice;
c) voluntary codes of best practice;
d) codes of conduct and ethics;
e) identifiable expectations of the community;
f) domain or organization policy directives; and
g) organization rules and procedures.
For public sector organizations, legislation or policy sets out expectations regarding the functions and
processes to be undertaken by a particular organization. For non-public sector organizations, these
expectations will be articulated in a business prospectus, mission statement or constitution that indicates what
the organization is constituted to do or accomplish.
A review of the organizational context locates work processes within, or across one or more organizations. It
establishes the architecture of the function or process (e.g. whether centralized or decentralized) and the
accountabilities for the performance of the function or processes. It identifies the framework for situating
functions, processes and individual transactions within an organization, and for defining how they relate to one
another, an exercise that achieves precision through functional and sequential analysis (see Clauses 6 and 7).
When undertaking work process analysis, contextual review should accurately reflect, at the highest level, the
regulatory environment and organizational context that authorizes the work process. If the scope of work
process analysis is limited to a specific process, the scope of the contextual review should extend only to the
specific policies, procedures or rules which govern that specific process. Conversely, if the scope of the work
process analysis encompasses an entire function, the scope of the corresponding contextual review should
extend to all elements of the related regulatory environment and organizational context.
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Table 2 lists a number of questions to ask when undertaking a contextual review.
Table 2 — Contextual review
Reference
Question
No.
1 What legislation or mission statement specifically governs the work process being reviewed?
2 What other legal requirements have an impact upon or influence the function or process?
3 Are there mandatory standards or regulations with which the function or process is required to comply?
4 Are there organizational rules, codes of practice or conduct relevant to the function or process(es)?
5 What are the specific procedures which govern the process(es)?
6 What community expectations might impact on or influence a function or process(es)?
7 Where are the processes located in the organization (i.e. centralized or decentralized, across more than
one organization, across more than one jurisdiction)?
8 To whom is the manager responsible for the process(es) accountable, and for what key outcomes?
9 Which participants in the organization(s) are involved in the process(es) and where are they located?
5.2 Outcomes of the contextual review
The principal elements of the regulatory environment and organizational context, in relation to the work
process, being analysed, are identified and documented. This provides the foundation for undertaking
functional and sequential analysis.
6 Functional analysis
6.1 General
Functions are identified in relation to the goals of the organization. They may be defined as processes
grouped together because they are directed to a specific strategic goal. Functions should generally be
exclusive categories and should be represented once only in the analysis even though their constituent
processes may be performed in several parts of the organization.
NOTE There can be several hierarchical layers within this grouping, depending on how jurisdictions or organizations
choose to break down functions. These layers can be called sub-functions, activities, actions, etc., but in this Technical
Report they are named collectively “aggregates of processes”.
Functional analysis is a top-down form of analysis starting with the strategic goals and purpose of an
organization, identifying the programs, projects and processes employed to achieve them and breaking those
programs, projects and processes down to the level appropriate to reveal the relationships between them.
It is recommended that functional analysis be undertaken independently of the organizational structure, as the
function may be exercised in more than one location within, or across one or more organizations.
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6.2 Analysis of the functions
6.2.1 Basic steps of functional analysis
The basic steps for undertaking functional analysis include the following.
a) Identification of the goals and strategies of the organization.
The identification of the goals and general strategies of an organization typically draws upon the
cont
...
RAPPORT ISO/TR
TECHNIQUE 26122
Première édition
2008-06-15
Information et documentation —
Analyse des processus pour la gestion
des informations et documents
d’activité
Information and documentation — Work process analysis for records
Numéro de référence
ISO/TR 26122:2008(F)
©
ISO 2008
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ISO/TR 26122:2008(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2008
Droits de reproduction réservés. Sauf indication contraire, aucune partie de cette publication ne peut être reproduite ni utilisée
sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique, y compris la photocopie, l’affichage sur
l’internet ou sur un Intranet, sans autorisation écrite préalable. Les demandes d’autorisation peuvent être adressées à l’ISO à
l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.
ISO copyright office
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Tel. + 41 22 749 01 11
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Version française parue en 2014
Publié en Suisse
ii © ISO 2008 – Tous droits réservés
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ISO/TR 26122:2008(F)
Sommaire Page
Avant-propos .iv
Introduction .v
1 Domaine d’application . 1
2 Références normatives . 1
3 Termes et définitions . 1
4 Réaliser l’analyse des processus . 2
4.1 Généralités . 2
4.2 Prise en compte des documents d’activité dans l’analyse des processus . 2
4.3 Périmètre et dimensionnement de l’analyse des processus . 3
4.4 Participants et validation . 4
4.5 Responsabilités . 4
5 Revue du contexte . 5
5.1 Généralités . 5
5.2 Résultats de la revue du contexte . 6
6 Analyse fonctionnelle . 6
6.1 Généralités . 6
6.2 Analyse des fonctions . 6
7 Analyse séquentielle . 8
7.1 Généralités . 8
7.2 Identification de l’enchainement des transactions dans un processus . 9
7.3 Résultats de l’analyse de l’enchainement d’activités dans un processus .10
7.4 Identification et analyse des écarts dans le processus .10
7.5 Résultats de l’analyse des écarts dans le processus .11
7.6 Etablissement des règles d’identification des composantes des activités.11
7.7 Résultats de l’analyse des règles de base pour les transactions.12
7.8 Identification des liens vers d’autres processus .12
7.9 Résultats de l’analyse des liens avec d’autres processus .13
8 Validation de l’analyse des processus avec les acteurs.13
8.1 Généralités .13
8.2 Processus de validation .14
8.3 Résultats de la validation avec les acteurs .14
Bibliographie .15
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ISO/TR 26122:2008(F)
Avant-propos
L’ISO (Organisation internationale de normalisation) est une fédération mondiale d’organismes
nationaux de normalisation (comités membres de l’ISO). L’élaboration des Normes internationales est
en général confiée aux comités techniques de l’ISO. Chaque comité membre intéressé par une étude
a le droit de faire partie du comité technique créé à cet effet. Les organisations internationales,
gouvernementales et non gouvernementales, en liaison avec l’ISO participent également aux travaux.
L’ISO collabore étroitement avec la Commission électrotechnique internationale (IEC) en ce qui concerne
la normalisation électrotechnique.
Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont
décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier de prendre note des différents
critères d’approbation requis pour les différents types de documents ISO. Le présent document a été
rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2, www.iso.
org/directives.
L’attention est appelée sur le fait que certains des éléments du présent document peuvent faire l’objet de
droits de propriété intellectuelle ou de droits analogues. L’ISO ne saurait être tenue pour responsable
de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant les
références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de l’élaboration
du document sont indiqués dans l’Introduction et/ou sur la liste ISO des déclarations de brevets reçues,
www.iso.org/patents.
Les éventuelles appellations commerciales utilisées dans le présent document sont données pour
information à l’intention des utilisateurs et ne constituent pas une approbation ou une recommandation.
Le comité chargé de l’élaboration du présent document est l’ISO/TC 46, Information et documentation,
sous-comité SC 11, Archives/Gestion des documents d’activité.
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ISO/TR 26122:2008(F)
Introduction
Tous les organismes, indépendamment de leur taille ou de la nature de leur activité, existent et agissent
pour atteindre certains buts et objectifs. Pour réaliser ses propres buts et objectifs, chaque organisme
doit déterminer et appliquer des processus de travail qui constituent les activités de l’organisme.
Chaque organisme génère des documents d’activité issus de ses processus de travail. Ces documents
constituent la preuve de ses buts et objectifs, de ses décisions et de ses opérations. Pour bien comprendre
ces «documents d’activité», il est nécessaire de comprendre les processus de travail qui les ont générés.
Cette compréhension peut également être utilisée pour identifier les documents d’activité qui devraient
être générés à partir des processus de travail et les gérer à travers le temps comme des actifs de
l’organisme.
L’analyse des processus pour gérer les documents d’activité est effectuée pour déterminer les conditions
requises pour la création de documents, la capture et le contrôle. Elle décrit et analyse ce qui se passe
dans une fonction dans un contexte d’affaires spécifique. Elle ne peut pas prendre place dans l’abstrait,
mais dépend de la collecte d’informations exactes et une compréhension bien fondée du contexte et de
la mission de l’organisme.
Le présent Rapport technique est destiné:
— aux professionnels de la gestion documentaire (ou les personnes qui en sont en charge au sein d’un
organisme) responsables de la création et de la gestion des documents d’activité en tant que tels ou
des logiciels de gestion électronique des données;
— aux responsables des systèmes chargés de la conception des processus d’affaires et/ou des systèmes
qui permettront de créer ou gérer les documents d’activité.
Aux fins du présent Rapport technique, le travail d’analyse des processus consiste à identifier:
a) la relation entre les processus de travail et leur contexte;
b) la relation entre les processus de travail et les règles régissant leur application (telles qu’elles
découlent de l’environnement réglementaire applicable);
c) la décomposition hiérarchique des processus de travail dans leur composante ou les parties
constitutives; et
d) l’interdépendance séquentielle entre les processus de travail distincts ou les transactions unitaires.
L’analyse des processus de travail aux fins de la création et le contrôle des documents d’activité sert à:
— fournir une identification claire des documents d’activité, de leurs exigences, d’en faciliter la capture
automatique et la gestion dès que le travail est effectué; et
— définir les liens contextuels entre les documents d’activité, et ainsi conduire à leur classification et
leur regroupement logique en assurant ainsi une documentation claire des processus de travail et
en facilitant la récupération, la conservation et le sort final des documents d’activité sur la base de
connaissances de l’entreprise.
L’analyse des processus de travail soutient l’intégration de la capture de documents d’activité dès que le
travail est effectué. Le traitement des commandes, la comptabilité, le paiement des salaires, la gestion
d’actifs, la gestion des stocks ou les systèmes de gestion de la qualité et la gestion des contrats sont
des exemples de processus de travail dans lequel la création de documents d’activité est normalement
intégrée. L’intégration de la gestion des documents d’activité dans les protocoles d’automatisation
appliquée aux processus de travail veillera à ce que les documents d’activité soient créés, capturés et
contrôlés systématiquement au sein de leur propre activité.
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RAPPORT TECHNIQUE ISO/TR 26122:2008(F)
Information et documentation — Analyse des processus
pour la gestion des informations et documents d’activité
1 Domaine d’application
Le présent Rapport technique fournit un guide d’analyse des processus depuis la création, la capture et
le contrôle des documents d’activité.
Il identifie deux types d’analyse, nommées:
a) analyse fonctionnelle (décomposition des fonctions en processus), et
b) analyse séquentielle (analyse du flux des transactions).
Chaque analyse implique un examen préliminaire du contexte approprié (c’est-à-dire responsabilité et
environnement réglementaire). Les composantes de l’analyse peuvent être réalisées en combinaisons
diverses et dans un ordre différent de celui décrit ici, selon la nature de la tâche, l’échelle du projet et
l’objet de l’analyse. Ce rapport intègre aussi des conseils sous forme de listes de questions ou éléments à
considérer pour chaque partie de l’analyse.
Le présent Rapport Technique décrit une application pratique de la théorie décrite dans l’ISO 15489.
Ainsi, il est indépendant de la technologie (c’est-à-dire qu’il peut être appliqué indépendamment de
l’environnement technologique), bien qu’il puisse être utilisé pour évaluer l’adéquation des outils utilisés
pour conduire les activités de l’organisme.
Le présent Rapport Technique se concentre sur des processus existants plutôt que des «workflows»
(c’est-à-dire, l’automatisation de tout ou partie d’un processus, pendant lequel des informations et
documents d’activités ou des tâches sont transférés d’un participant à un autre pour action, selon un
ensemble de règles décrites dans la Référence [1] de la Bibliographie).
2 Références normatives
Les documents suivants, en totalité ou en partie, sont référencés de manière normative dans le présent
document et sont indispensables pour son application. Pour les références datées, seule l’édition citée
s’applique. Pour les références non datées, la dernière édition du document de référence s’applique (y
compris les éventuels amendements).
ISO 15489-1:2001, Information et documentation — «Records management» — Partie 1: Principes
directeurs
ISO/TR 15489-2:2001, Information et documentation — «Records Management» — Partie 2: Guide pratique
ISO 23081-1:2006, Information et documentation — Processus de gestion des enregistrements —
Métadonnées pour les enregistrements — Partie 1: Principes
ISO/TS 23081-2:2007, Information et documentation — Processus de gestion des enregistrements —
Métadonnées pour les enregistrements — Partie 2: Sujets conceptuels et de mise en oeuvre
3 Termes et définitions
Pour les besoins du présent Rapport technique, les termes et définitions donnés dans l’ISO 15489-1,
l’ISO 15489-2, l’ISO 23081-1 et l’ISO 23081-2 ainsi que les suivants s’appliquent.
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ISO/TR 26122:2008(F)
3.1
documentation
collection de documents décrivant les opérations, instructions, décisions, procédures et règles de
gestion liées à une fonction donnée, un processus ou une transaction
3.2
analyse fonctionnelle
regroupement de tous les processus réalisés pour atteindre un objectif spécifique, stratégique
d’un organisme. Il formalise les relations entre les fonctions, processus et transactions qui ont des
répercussions dans la gestion des documents d’activité
3.3
séquence
série de transactions reliées entre elles, avec l’exigence qu’entreprendre la transaction suivante dépend
de l’achèvement des précédentes
3.4
analyse séquentielle
représentation d’un processus réalisée dans un ordre linéaire et/ou chronologique qui révèle des
relations de dépendances entre les transactions qui le constituent
3.5
transaction
la plus petite unité d’un processus, qui consiste en un échange entre deux ou plusieurs participants ou
systèmes
3.6
processus
une ou plusieurs séquences d’activités requises pour produire un résultat qui respecte des règles de
gouvernance
4 Réaliser l’analyse des processus
4.1 Généralités
L’analyse des processus relative aux documents d’activité est utilisée pour recueillir les informations
sur les transactions, les processus et les fonctions d’un organisme afin d’identifier les conditions de
création, de capture et de contrôle de ces documents.
Il y a deux approches pour réaliser une analyse de processus:
a) fonctionnelle;
b) séquentielle.
Avant de sélectionner l’une ou la combinaison des deux, il faut déterminer l’objet du projet de gestion des
documents d’activité, son périmètre, ainsi que le contexte organisationnel de l’activité à analyser (revue
du contexte, voir Article 5).
4.2 Prise en compte des documents d’activité dans l’analyse des processus
L’analyse des processus est la base nécessaire pour mettre en œuvre les processus de création, capture
et contrôle des documents d’activité:
a) identification des exigences relatives aux documents d’activité qui formalisent une fonction ou des
ensembles de processus;
b) développement de plan de classement basé sur les fonctions pour l’identification, localisation et
relation entre les documents d’activité;
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ISO/TR 26122:2008(F)
c) préservation des liens entre les documents d’activité et le contexte de leur création;
d) développement de règles de nommage et d’indexation, ainsi que des règles propres à assurer
l’identification pérenne des documents d’activité;
e) identification pérenne de l’origine et de la propriété des documents d’activité;
f) détermination des durées de conservation appropriées pour les documents d’activité et mise en
place d’une autorité de décision du sort final;
g) analyse de la gestion des risques associés à la gestion des documents d’activité;
h) définition de la sécurité et protection appropriées pour les documents d’activité et mise en place
d’autorisations d’accès et de niveaux de sécurité.
4.3 Périmètre et dimensionnement de l’analyse des processus
Les deux types d’analyses peuvent être associées de différentes manières et dimensionnées en fonction
de l’objet de l’étude. L’analyse peut être dimensionnée en fonction de diverses exigences, par exemple
depuis une identification complète et une analyse de toutes les fonctions d’un organisme jusqu’à
une analyse fine d’un processus particulier dans une entité donnée. L’étendue et le niveau de détail
dépendront de l’évaluation des risques encourus par l’organisme ainsi que des résultats attendus de la
mission de gestion des documents d’activité.
L’analyse fonctionnelle utilise une méthode analytique du haut vers le bas qui part des objectifs
stratégiques et organisationnels et peut descendre jusqu’au niveau des transactions. Elle peut être
utilisée transversalement sur plusieurs organismes (dans une ou plusieurs entités juridiques), au sein
d’un organisme, ou dans une entité responsable d’une fonction.
L’analyse séquentielle peut être dimensionnée pour analyser entièrement les processus d’un organisme
ou de plusieurs (dans une ou plusieurs entités juridiques), ou seulement au sein d’une division, ou d’une
simple unité. Elle peut être utilisée pour analyser un ensemble de processus, ou des transactions qui
composent un seul processus, ou encore une seule transaction (jusqu’aux opérations de saisie) selon
l’objet de la mission d’analyse.
Pour les besoins du présent Rapport technique, on utilisera la hiérarchie des termes définis dans le
Tableau 1.
NOTE Beaucoup d’entités utilisent des termes différents pour désigner les niveaux logiques d’analyse d’une
fonction. Dans certains cas, les entités ou les organismes peuvent vouloir identifier des niveaux différents ou en
ajouter pour décomposer les fonctions en transactions. Tant le nombre de niveaux que les points auxquels ils
sont identifiés, dépendent de l’environnement réglementaire de l’organisme ainsi que de l’échelle et du périmètre
propres du projet d’analyse de processus. Les termes tels que «sous-fonction», «activité» et «action» peuvent être
utilisés, mais n’ont pas été employés dans ce rapport en partie pour en faciliter la mise en œuvre.
Tableau 1 — Hiérarchie des termes
Terme Source Exemple 1 (dans une univer- Exemple 2 (dans un cabinet médi-
sité) cal)
Fonction ISO/TS 23081-2:2007 Recherche Service patients
Ensemble de Le présent Rapport tech- Examens, diagnostic et traitement
Financement de la recherche
processus nique des patients
Approbation de la demande
Processus ISO/TS 23081-2:2007 Examen du patient
d’allocations de recherche
Soumission de la candidature Fourniture d’une prescription de
Transaction ISO/TS 23081-2:2007
à des allocations de recherche médicaments à un patient
L’analyse fonctionnelle prendra tout son sens lors de la définition d’un plan de classement par activités
pour la totalité de l’organisme, particulièrement pour définir les premiers niveaux de ce plan de
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ISO/TR 26122:2008(F)
classement. L’analyse séquentielle prendra elle tout son sens pour résoudre les questions de création,
capture et contrôle des documents d’activité dans un processus unique ou pour une entité de l’organisme.
Lorsqu’on réalise l’analyse de processus pour un projet de gestion des documents d’activité, il convient
de se poser les questions suivantes:
Est-ce que le périmètre du projet concerne
a) une seule transaction dans un processus?
b) un seul processus pour une équipe de travail?
c) un ensemble de processus reliés (groupe de processus) dans une partie d’un organisme?
d) une fonction dans son ensemble qui peut être exécutée au sein d’un ou de plusieurs organismes?
e) une analyse fonctionnelle de l’organisme entier?
4.4 Participants et validation
L’analyse de processus servant à modéliser la création, la capture et les contrôles des documents
d’activité est précise. Elle décrit et analyse les processus existants dans l’organisme et dépend de la
collecte d’une information exacte. Les acteurs des processus constituent une ressource clé pour fournir
cette information et en valider la pertinence.
L’examen du rôle des acteurs d’un processus (par exemple à partir des fiches de poste) facilite aussi
l’analyse des processus. La nature de leur participation (par exemple, le conseil et l’orientation,
l’autorisation, le traitement, l’évaluation, l’audit) peut indiquer les étapes du processus aussi bien que le
moment où ces étapes sont entreprises.
Pour obtenir l’adhésion aux résultats et la collaboration à la mise en œuvre des recommandations de
l’analyse des processus, sa validation est un facteur clef de succès. La validation dépend de la confirmation
par les participants que les résultats de l’analyse sont complets, précis et fiables.
4.5 Responsabilités
La direction d’un organisme est responsable des performances et de la manière dont sont gérés ses
affaires, ainsi que les processus associés.
La responsabilité de la gestion des documents d’activité incombe principalement au directeur délégué
chargé d’en rendre compte. Des documents d’activité pertinents sont essentiels pour garantir la
transparence, la gestion des risques et le suivi des responsabilités des directeurs.
Gérer des documents d’activité résultant de tout processus particulier implique de documenter les
règles de gestion, les procédures et guides gouvernant ces processus. La pérennisation et la mise à jour
des règles et procédures propres au processus relève de la responsabilité des directeurs. L’établissement
de procédures qui assurent la mise à jour de la méthode d’analyse de processus lors des changements
majeurs d’une activité est aussi de leur responsabilité.
Dans un organisme, les individus ont des rôles et des responsabilités qui évoluent dans le temps et qui
devront être enregistrés comme information de contexte nécessaire pour garantir que les documents
résultant de leur activité restent significatifs.
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ISO/TR 26122:2008(F)
5 Revue du contexte
5.1 Généralités
Toute analyse de processus devra commencer par un revue du contexte dans lequel l’organisme conduit
son activité, c’est-à-dire un examen de l’environnement réglementaire et du contexte organisationnel.
NOTE Lorsqu’ils entreprennent une revue contextuelle, il convient que les lecteurs se réfèrent aux conseils
fournis dans l’ISO 15489-1:2001, Article 5, 8.4 a) à 8.4 c) ainsi que dans l’ISO/TR 15489-2:2001, 3.2.
L’environnement réglementaire dans lequel un organisme fonctionne, et auquel elle doit se soumettre,
est constitué des législations internationales et nationales qui ont un impact sur la manière dont
elle conduit ses activités, ainsi que des règles de gestion, de normes obligatoires, de conventions, de
bonnes pratiques, des attentes des parties intéressées, etc. La hiérarchie des éléments constitutifs de
l’environnement réglementaire à analyser comprennent:
a) les lois, la jurisprudence et les règlementations régissant l’environnement de l’activité, spécifique au
secteur ou générique;
b) les normes obligatoires à utiliser;
c) les codes de bonnes pratiques;
d) les codes de conduite et éthiques;
e) les attentes identifiables des parties intéressées;
f) les politiques du domaine d’activité ou de l’organisme;
g) les règles et procédures de l’organisme.
Pour le secteur public, la législation ou les politiques mises en place déterminent des attentes quant aux
fonctions et aux processus à mettre en œuvre. Pour le secteur privé, ces attentes seront exprimées dans
un relevé de décisions, une lettre de mission ou les statuts qui indiqueront les objectifs de l’organisme.
Une revue du contexte organisationnel positionne les processus au sein d’un ou plusieurs organismes.
Elle positionne la fonction ou le processus (par exemple, centralisé ou décentralisé) et les responsabilités
opérationnelles. Elle définit le cadre pour situer chaque fonction, processus et activité au sein d’un
organisme et définit comment ils interfèrent. Cet examen apporte des précisions pour l’analyse
fonctionnelle et séquentielle (voir les Articles 6 et 7 ci-dessous).
Lorsqu’on entreprend l’analyse, la revue du contexte devrait précisément refléter, au niveau le plus
haut, l’environnement réglementaire et le contexte organisationnel qui régissent le processus. Si le
cadre d’une analyse est limité à un processus, le cadre de l’a revue contextuelle devrait se limiter aux
politiques, procédures ou règles qui le gouvernent. Au contraire, si le cadre de l’analyse englobe une
fonction entière, le cadre de la revue du contexte correspondant devrait s’étendre à tous les éléments
liés à l’environnement réglementaire et au contexte organisationnel.
Le Tableau 2 énumère les questions à se poser lorsqu’on entreprend une revue du contexte:
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Tableau 2 — Revue du contexte
Référence Question
N°
1 Quelle législation ou lettre de mission gouverne spécifiquement le processus soumis à revue?
2 Quelles autres contraintes légales ont un impact ou influencent la fonction ou le processus?
3 Y a-t-il des normes obligatoires ou des règlements auxquels la fonction ou le processus doivent se
soumettre?
4 Y a-t-il des règles organisationnelles, des codes de bonnes pratiques ou de conduite relatifs à la
fonction ou au processus?
5 Quelles sont les règles spécifiques qui régissent le processus?
6 Quelles attentes des parties intéressées pourraient impacter ou influencer une fonction ou un
processus?
7 Comment sont positionnés les processus dans l’organisme (centralisés ou décentralisés, trans-
versaux sur plusieurs entités ou organisations)?
8 A qui le directeur responsable du (des) processus doit il rendre compte et pour quels résultats?
9 Quels acteurs de l’organisme sont impliqués dans le(s) processus et où sont-ils positionnés?
5.2 Résultats de la revue du contexte
Une fois identifiés et analysés, les principaux éléments constituants l’environnement réglementaire et
le contexte organisationnel sont identifiés et documentés. Ils fournissent la base pour entreprendre les
analyses fonctionnelle et séquentielle.
6 Analyse fonctionnelle
6.1 Généralités
Les fonctions sont identifiées par rapport aux objectifs de l’organisme. Elles peuvent être définies comme
une ensemble de processus devant atteindre un objectif stratégique propre. Les fonctions devraient être
généralement des catégories exclusives, représentées une seule fois dans l’analyse, quand bien même
leurs processus constitutifs sont exécutés par plusieurs entités de l’organisme.
NOTE Il peut y avoir plusieurs niveaux hiérarchiques dans cet ensemble, selon la manière dont les entités ou
les organismes choisissent de découper les fonctions. Ces niveaux peuvent être appelés sous-fonctions, activités,
actions e
...
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