SATR 26122-2010 Information and documentation - Work process analysis for records《信息和文献 工作记录的过程分析》.pdf

1、 Collection of SANS standards in electronic format (PDF) 1. Copyright This standard is available to staff members of companies that have subscribed to the complete collection of SANS standards in accordance with a formal copyright agreement. This document may reside on a CENTRAL FILE SERVER or INTRA

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3、damage whatsoever than may result from the use of this material or the information contain therein, irrespective of the cause and quantum thereof. ISBN 978-0-626-23657-1 SATR 26122:2010Edition 1 and ISO/TR tech. corr. 1ISO/TR 26122:2008Edition 1 and tech. corr. 1SABS STANDARDS DIVISION Technical rep

4、ort Information and documentation Work process analysis for records This technical report is the identical implementation of ISO/TR 26122:2008 and ISO/TR technical corrigendum 1, and is adopted with the permission of the International Organization for Standardization. This document does not have the

5、 status of a South African National Standard. Published by SABS Standards Division 1 Dr Lategan Road Groenkloof Private Bag X191 Pretoria 0001Tel: +27 12 428 7911 Fax: +27 12 344 1568 www.sabs.co.za SABS SATR 26122:2010 Edition 1 and ISO/TR tech. corr. 1 ISO/TR 26122:2008 Edition 1 and tech. corr. 1

6、 Table of changes Change No. Date Scope ISO/TR tech. corr. 1 2009 Applies to the French text only. National foreword This South African technical report was approved by National Committee SABS SC 46D, Information and documentation Archives/records management, in accordance with procedures of the SAB

7、S Standards Division, in compliance with annex 3 of the WTO/TBT agreement. This SATR was published in March 2010. ICS 01.140.20 Ref. No. ISO/TR 26122:2008/Cor.1:2009(E) ISO 2009 All rights reserved Published in Switzerland TECHNICAL REPORT ISO/TR 26122:2008 TECHNICAL CORRIGENDUM 1 Published 2009-05-

8、15 INTERNATIONAL ORGANIZATION FOR STANDARDIZATION ORGANISATION INTERNATIONALE DE NORMALISATIONInformation and documentation Work process analysis for records TECHNICAL CORRIGENDUM 1 Information et documentation Analyse du processus des records RECTIFICATIF TECHNIQUE 1 Technical Corrigendum 1 to ISO/

9、TR 26122:2008 was prepared by Technical Committee ISO/TC 46, Information and documentation, Subcommittee SC 11, Archives/records management. Page i, cover page title Replace the French title of this Technical Report with the following: Information et documentation Analyse des processus pour le manag

10、ement de linformation et des documents SATR 26122:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .This page is intentionally left blankReference numberISO/TR 26122:2008(E)ISO 2008TECHNICAL REPORT ISO/TR26122First edition2008-06-15Informat

11、ion and documentation Work process analysis for records Information et documentation Analyse du processus des records SATR 26122:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/TR 26122:2008(E) PDF disclaimer This PDF file may contain

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16、 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 copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2008 All rights reservedSATR 26122:2010This s tandard may only be used and printed by approved subscription and free

17、mailing clients of the SABS .ISO/TR 26122:2008(E) ISO 2008 All rights reserved iiiContents 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 Sco

18、pe and scale of work process analysis3 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 Identif

19、ying 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 identi

20、fied 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.

21、13 8.2 Validation process 14 8.3 Outcomes of the validation with the participants . 14 Bibliography . 15 SATR 26122:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/TR 26122:2008(E) iv ISO 2008 All rights reservedForeword ISO (the Inte

22、rnational 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

23、 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 s

24、tandardization. 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

25、 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

26、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 dr

27、awn 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, Archi

28、ves/records management. SATR 26122:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/TR 26122:2008(E) ISO 2008 All rights reserved vIntroduction All organizations, regardless of their size or the nature of their business, exist and act

29、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 organizations business. Every organization generates records from its work processes. These records constitute evidenc

30、e of the organizations 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 pr

31、ocesses 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

32、 the abstract but is dependent on accurate information gathering and a well-grounded understanding of the organizations context and mission. This Technical Report is intended for: records professionals (or persons assigned within an organization for managing records) responsible for creating and man

33、aging 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

34、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; a

35、nd 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 reco

36、rds 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.

37、 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 i

38、s 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. SATR 26122:2010This s tandard may only be us

39、ed and printed by approved subscription and freemailing clients of the SABS .SATR 26122:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .TECHNICAL REPORT ISO/TR 26122:2008(E) ISO 2008 All rights reserved 1Information and documentation Work

40、 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) sequenti

41、al 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

42、 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 theo

43、ry 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 organizations work processes. This Technical Report focuses on existing work process

44、es 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 Normati

45、ve 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 d

46、ocumentation 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 documenta

47、tion Records management processes Metadata for records Part 2: Conceptual and implementation issues SATR 26122:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/TR 26122:2008(E) 2 ISO 2008 All rights reserved3 Terms and definitions For

48、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, pro

49、cess 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 sequentia