http://aiimknowledgecenter.typepad.com/weblog/2010/02/work-process-analysis-for-records.html
Submitted by Carl Weise - AIIM 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...
ISO/TR 26122:2008, Information and documentation – Work process analysis for recordsmakes it 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.
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.
Some processes and some transactions are isolated and stand alone, but many of them are interdependent
First, the assessment helps to identify dependencies between processes and/or transactions.
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.
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.
ISO/TR 26122:2008, Functional Analysis
Submitted by Carl Weise, AIIM Industry Advisor
In 2008, ISO published ISO/TR 26122:2008, Information and documentation – Work process analysis for records. This technical report describes a framework for conducting a work process analysis for those processes that will be used to create and/or manage records.
In a previous blog, I mentioned that it consists of two types of analysis: the functional analysis to break functions into component work processes, and the sequential analysis within each process to identify the flow of information as the transactions progress.
Part 2: Guidelinesrecommends a functional classification structure. ISO 26122 outlines the following basic process to conduct the functional analysis.
The first step is to identify the goals and strategies of the organization. Information to support this can be found in your organization’s business plan, its charter, its mission and vision, and other key strategic planning documents. Next, the analysis seeks to identify which functions carry out the strategies in support of the goals. At the same time, this provides an opportunity to review the various functions and map them to the goals and strategies – and perhaps identify functions that do not align properly (or at all). Some of this information will come from surveys and interviews, particularly from management, while other information will be found in the various strategic planning documents listed above and from the plans created to achieve the goals.
For each function identified, you need to determine what processes the function performs, and again, look at the processes identified in the contextual review and determine which function performs them. In some cases, some processes may be performed in different parts of the organization; in other cases, a similar process occurs in multiple areas within the organization. For example, planning, project management, and recordkeeping tasks will likely occur throughout the organization.
Finally, the functional analysis concludes by identifying the specific tasks and transactions that make up the individual processes which is produced primarily through the sequential analysis,
Submitted by Carl Weise, AIIM Industry Advisor In 2008, ISO published ISO/TR 26122:2008, Information and documentation – Work process analysis for records. This technical report describes a framework for conducting a work pro...
In a previous blog, I mentioned that it consists of two types of analysis: a functional analysis to break functions into component work processes, and sequential analysis within each process to identify the flow of information as the transactions progress.
For example, municipal police issue vehicular moving violations for things like speeding, etc. The “ticket transaction” begins with the issuing of the ticket to the motorist and most commonly ends with the motorist paying a fine. A routine variation involves a court date, either because the motorist is contesting the ticket or because the violation was significant enough to mandate a court date. A less common exception might be the case of a motorist who mails in the ticket without payment, or using a payment method that is declined (bad check or credit card number).
Here is the process to conduct a sequential analysis. The first step is to identify the transactions that make up a particular process and the tasks associated with each transaction, as noted earlier. This information will come from interviews and surveys of the users performing the tasks but may also come from existing process documentation and outputs of the process, including audit trails. Once the baseline, most common sequence has been established, the next step is to identify variations in the process and determine whether they are routine variations that are handled as part of the overall transaction and process, or whether they constitute exceptions to the process. Exceptions still need to be handled, but they may be handled in a more manual fashion or require exceptional intervention such as from a manager or specialist.
Finally, many processes are dependent on other processes. The output of a process or transaction becomes the input to another process or transaction. Sometimes this dependency is strictly sequential – something has to be completed before something else can be begun.
To use our court example, there can be no scheduling of a court case until either the date for payment passes or the motorist makes a formal request to the court. In other cases the dependency is only partial – perhaps the process allows the motorist to stop by the courthouse and pay the ticket fine immediately, without having to wait for the ticket to be formally processed into the system.
Is the process complete? Are all steps listed? Are all cases, conditions, and exceptions identified?
Is the process correct? Are the steps in the correct order?
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