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There are three Technical Reports that offer guidance to records professionals on best practices for analyzing business context, activities, work processes, and risk. These reports help in making decisions about which records to create and how to manage them effectively over time.
Appraisal
ISO/TR 21946:2018, titled "Appraisal for managing records," provides guidance on performing appraisal work. This involves understanding the nature of the business, its legal, resource, and technological aspects, and using risk assessment to determine which records should be created and how they should be managed to meet various requirements. This includes assessing both general business risks and risks that can be managed through the creation and management of records.
Work Process
ISO/TR 26122:2008, known as "Work process analysis for records," focuses on analyzing work processes to identify records requirements in the workplace. Work process analysis serves as the foundation for records management and helps identify the flow of information, the records needed for decision-making, record grouping and classification, retention requirements, and the interdependencies between processes and systems. The report provides different forms of analysis and checklists to assist practitioners in implementing the analysis, which can be scaled to fit the specific needs of the records management task.
Risk Assessment
ISO/TR 18128:2014, titled "Risk assessment for records processes and systems," offers a systematic method for assessing the risks associated with records processes and systems. It helps identify areas of uncertainty and provides guidelines for applying ISO 31000 Risk Management principles to the management of records over time.
Together, these three reports provide a foundation for producing hierarchical breakdowns of business functions and activities, conducting work process analyses, defining requirements for creating and managing records, and performing risk assessments.
Michelle Tolliday