BABOK 3 ONLINE - A Guide To The Business Analysis Body of Knowledge

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A G U I D E T O T H E B U S I N E S S A N A LY S I S
B O DY O F K N O W L E D GE
BABOK
v3
AGUIDETOTHEBUSINESSANALYSIS
BODYOFKNOWLEDGE
InternationalInstituteofBusinessAnalysis,Toronto,Ontario,Canada.
2005,2006,2008,2009,2015InternationalInstituteofBusinessAnalysis.Allrightsreserved.
Version1.0and1.4published2005.Version1.6Draftpublished2006.Version1.6Finalpublished2008.Version2.0
published2009.Version3.0published2015.
ISBN13:979781927584033
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TableofContents
1.1
1.2
1.3
1.4
PurposeoftheBABOK Guide1
WhatisBusinessAnalysis?2
WhoisaBusinessAnalyst?2
StructureoftheBABOK Guide3
Chapter2:BusinessAnalysisKeyConcepts
2.1
2.2
2.3
2.4
TheBusinessAnalysisCoreConceptModel12
KeyTerms14
RequirementsClassificationSchema16
Stakeholders16
2.5
RequirementsandDesigns19
Chapter3:BusinessAnalysisPlanningandMonitoring
3.1
3.2
PlanBusinessAnalysisApproach24
PlanStakeholderEngagement31
3.3
3.4
3.5
PlanBusinessAnalysisGovernance37
PlanBusinessAnalysisInformationManagement42
IdentifyBusinessAnalysisPerformanceImprovements47
Chapter1:Introduction
TableofContents
Chapter4:ElicitationandCollaboration
4.1
PrepareforElicitation56
4.2
4.3
4.4
4.5
ConductElicitation61
ConfirmElicitationResults65
CommunicateBusinessAnalysisInformation67
ManageStakeholderCollaboration71
ComplimentaryIIBA MemberCopy.NotforDistributionorResale.
Chapter5:RequirementsLifeCycleManagement
5.1
5.2
5.3
5.4
5.5
TraceRequirements79
MaintainRequirements83
PrioritizeRequirements86
AssessRequirementsChanges91
ApproveRequirements95
Chapter6:StrategyAnalysis
6.1
6.2
6.3
6.4
AnalyzeCurrentState103
DefineFutureState110
AssessRisks120
DefineChangeStrategy124
Chapter7:RequirementsAnalysisandDesignDefinition
7.1
7.2
7.3
7.4
7.5
SpecifyandModelRequirements136
VerifyRequirements141
ValidateRequirements144
DefineRequirementsArchitecture148
DefineDesignOptions152
7.6
AnalyzePotentialValueandRecommendSolution157
Chapter8:SolutionEvaluation
8.1
8.2
MeasureSolutionPerformance166
AnalyzePerformanceMeasures170
8.3
8.4
8.5
AssessSolutionLimitations173
AssessEnterpriseLimitations177
RecommendActionstoIncreaseSolutionValue182
Chapter9:UnderlyingCompetencies
9.1
AnalyticalThinkingandProblemSolving188
ii
TableofContents
9.2
9.3
9.4
9.5
9.6
BehaviouralCharacteristics194
BusinessKnowledge199
CommunicationSkills203
InteractionSkills207
ToolsandTechnology211
Chapter10:Techniques
AcceptanceandEvaluationCriteria217
BacklogManagement220
BalancedScorecard223
BenchmarkingandMarketAnalysis226
10.5
10.6
10.7
10.8
10.9
10.10
10.11
10.12
10.13
Brainstorming227
BusinessCapabilityAnalysis230
BusinessCases234
BusinessModelCanvas236
BusinessRulesAnalysis240
CollaborativeGames243
ConceptModelling245
DataDictionary247
DataFlowDiagrams250
10.14
10.15
10.16
10.17
10.18
10.19
10.20
10.21
10.22
DataMining253
DataModelling256
DecisionAnalysis261
DecisionModelling265
DocumentAnalysis269
Estimation271
FinancialAnalysis274
FocusGroups279
FunctionalDecomposition283
10.23
10.24
10.25
10.26
10.27
10.28
10.29
10.30
10.31
Glossary286
InterfaceAnalysis287
Interviews290
ItemTracking294
LessonsLearned296
MetricsandKeyPerformanceIndicators(KPIs)297
MindMapping299
NonFunctionalRequirementsAnalysis302
Observation305
10.32
OrganizationalModelling308
iii
10.1
10.2
10.3
10.4
TableofContents
10.33
10.34
10.35
10.36
10.37
10.38
Prioritization311
ProcessAnalysis314
ProcessModelling318
Prototyping323
Reviews326
RiskAnalysisandManagement329
10.39
10.40
10.41
10.42
10.43
10.44
10.45
10.46
10.47
RolesandPermissionsMatrix333
RootCauseAnalysis335
ScopeModelling338
SequenceDiagrams341
StakeholderList,Map,orPersonas344
StateModelling348
SurveyorQuestionnaire350
SWOTAnalysis353
UseCasesandScenarios356
10.48
10.49
10.50
UserStories359
VendorAssessment361
Workshops363
Chapter11:Perspectives
11.1
11.2
11.3
11.4
11.5
TheAgilePerspective368
TheBusinessIntelligencePerspective381
TheInformationTechnologyPerspective394
TheBusinessArchitecturePerspective408
TheBusinessProcessManagementPerspective424
AppendixA:Glossary441
AppendixB:TechniquestoTaskMapping457
AppendixC:Contributors473
AppendixD:SummaryofChangesfromBABOK
iv
Guidev2.0483
Preface
IIBAwasfoundedinToronto,CanadainOctoberof2003tosupportthebusinessanalysiscommunity
by:
creatinganddevelopingawarenessandrecognitionofthevalueandcontributionofthebusiness
analyst,
definingtheBusinessAnalysisBodyofKnowledge (BABOK ),
providingaforumforknowledgesharingandcontributiontothebusinessanalysisprofession,and
TheBodyofKnowledgeCommitteewasformedinOctoberof2004todefineanddraftaglobal
standardforthepracticeofbusinessanalysis.InJanuaryof2005,IIBAreleasedversion1.0ofAGuide
totheBusinessAnalysisBodyofKnowledge (BABOKGuide)forfeedbackandcomment.Thatversion
includedanoutlineoftheproposedcontentandsomekeydefinitions.Version1.4wasreleasedin
Octoberof2005,withdraftcontentinsomeknowledgeareas.Version1.6,whichincludeddetailed
informationregardingmostoftheknowledgeareas,waspublishedindraftforminJuneof2006and
updatedtoincorporateerratainOctoberof2008.
TheBodyofKnowledgeCommitteedevelopedversion2.0ofAGuidetotheBusinessAnalysisBodyof
Knowledge (BABOK Guide)withtheguidanceofexpertwritingteams,andfeedbackgarneredfrom
expert,practitioner,andpublicreviews.Version2.0introducedsuchconceptsastheRequirements
ClassificationSchemaandtheInput/Outputmodels.Version2.0waspublishedin2009andbecamethe
globallyrecognizedstandardforthepracticeofbusinessanalysis.
Followingthepublicationofversion2.0,IIBAsoughtoutanumberofrecognizedexpertsinbusiness
analysisandrelatedfieldsandsolicitedtheirfeedbackonthecontentofthatedition.TheBodyof
KnowledgeCommitteeusedthesecommentstoplanthevisionandscopeofthisrevision.TheBodyof
KnowledgeCommitteeworkedwithteamsofexpertwriterstoreviseandupdatethecontent.The
reviseddraftofAGuidetotheBusinessAnalysisBodyofKnowledge (BABOKGuide)wasreviewed
byteamsofbothexpertandpractitionerreviewers.TheBodyofKnowledgeCommitteeusedthe
feedbackprovidedtofurtherenhanceandrefinethetextandthenmadethecontentavailabletothe
businessanalysiscommunityforreviewin2014.Thethousandsofitemsoffeedbackfromthispublic
reviewwereusedtofurtherrevisethetexttoformAGuidetotheBusinessAnalysisBodyof
Knowledge (BABOK Guide)version3.0.
Thegoalofthisrevisionwasto:
incorporatenewconceptsandpracticesinusesincethelastrevision,
addressthebroadeningandevolvingscopeoftheprofession,
incorporatelessonslearnedfrompractitionerswhohaveworkedwiththecurrentversion,
improvethereadabilityandusabilityoftheguide,
improvetheconsistencyandqualityoftextandillustrations,and
improveconsistencywithothergenerallyacceptedstandardsrelatingtothepracticeofbusiness
analysis.
v
publiclyrecognizingandcertifyingqualifiedpractitionersthroughaninternationally
acknowledgedcertificationprogram.
Themajorchangesinthisreleaseinclude:
theinclusionoftheBusinessAnalysisCoreConceptModel(BACCM),
theexpandedscopeoftheroleofbusinessanalysisincreatingbetterbusinessoutcomes,
theinclusionofPerspectiveswhichdescribespecializedwaysinwhichbusinessanalysis
professionalsprovideuniquevaluetotheenterprise,
newandexpandedUnderlyingCompetenciestobetterreflectthediverseskillsetsofthebusiness
analyst,and
newtechniquesthathaveemergedinthepracticeofbusinessanalysis.
ThispublicationsupersedesAGuidetotheBusinessAnalysisBodyofKnowledge
version2.0.
(BABOKGuide)
TheBABOKGuidecontainsadescriptionofgenerallyacceptedpracticesinthefieldofbusiness
analysis.Thecontentincludedinthisreleasehasbeenverifiedthroughreviewsbypractitioners,surveys
ofthebusinessanalysiscommunity,andconsultationswithrecognizedexpertsinthefield.Thedata
availabletoIIBAdemonstratesthatthetasksandtechniquesdescribedinthispublicationareinusebya
majorityofbusinessanalysispractitioners.Asaresult,wecanhaveconfidencethatthetasksand
techniquesdescribedintheBABOK Guideshouldbeapplicableinmostcontextswherebusiness
analysisisperformed,mostofthetime.
TheBABOKGuideshouldnotbeconstruedtomandatethatthepracticesdescribedinthispublication
shouldbefollowedunderallcircumstances.Anysetofpracticesmustbetailoredtothespecific
conditionsunderwhichbusinessanalysisisbeingperformed.Inaddition,practiceswhicharenot
generallyacceptedbythebusinessanalysiscommunityatthetimeofpublicationmaybeequally
effective,ormoreeffective,thanthepracticesdescribedintheBABOK Guide.Assuchpractices
becomegenerallyaccepted,andasdataiscollectedtoverifytheireffectiveness,theywillbe
incorporatedintofutureeditionsofthispublication.IIBAencouragesallpractitionersofbusiness
analysistobeopentonewapproachesandnewideas,andwishestoencourageinnovationinthe
practiceofbusinessanalysis.
IIBAwouldliketoextenditsthanksandthethanksofthebusinessanalysiscommunitytoallthosewho
volunteeredtheirtimeandefforttothedevelopmentofthisrevision,aswellasthosewhoprovided
informalfeedbacktousinotherways.
vi
AGuidetotheBusinessAnalysisBodyofKnowledge (BABOKGuide)isthe
globallyrecognizedstandardforthepracticeofbusinessanalysis.TheBABOK
Guidedescribesbusinessanalysisknowledgeareas,tasks,underlying
competencies,techniquesandperspectivesonhowtoapproachbusiness
analysis.
1.1
PurposeoftheBABOKGuide
TheprimarypurposeoftheBABOK Guideistodefinetheprofessionofbusiness
analysisandprovideasetofcommonlyacceptedpractices.Ithelpspractitioners
discussanddefinetheskillsnecessarytoeffectivelyperformbusinessanalysis
work.TheBABOKGuidealsohelpspeoplewhoworkwithandemploybusiness
analyststounderstandtheskillsandknowledgetheyshouldexpectfromaskilled
practitioner.
Businessanalysisisabroadprofessioninwhichbusinessanalystsmightperform
workformanydifferenttypesofinitiativesacrossanenterprise.Practitionersmay
employdifferentcompetencies,knowledge,skills,terminology,andattitudesthat
theyusewhenperformingbusinessanalysistasks.TheBABOK Guideisa
commonframeworkforallperspectives,describingbusinessanalysistasksthat
areperformedtoproperlyanalyzeachangeorevaluatethenecessityfora
change.Tasksmayvaryinform,order,orimportanceforindividualbusiness
analystsorforvariousinitiatives.
ThesixknowledgeareasoftheBABOK Guide(BusinessAnalysisPlanningand
Monitoring,ElicitationandCollaboration,RequirementsLifeCycleManagement,
StrategyAnalysis,RequirementsAnalysisandDesignDefinition(RADD),and
1
Introduction
WhatisBusinessAnalysis?
Introduction
SolutionEvaluation)describethepracticeofbusinessanalysisasitisapplied
withintheboundariesofaprojectorthroughoutenterpriseevolutionand
continuousimprovement.Thefollowingimageshowshowthreeofthe
knowledgeareassupportthedeliveryofbusinessvaluebefore,during,andafter
thelifecycleofaproject.
Figure1.1.1:BusinessAnalysisBeyondProjects
Project
PreProject
Project
PostProject
Rationale
Delivery
Benefits
StrategyAnalysis
RADD
SolutionEvaluation
1.2
WhatisBusinessAnalysis?
Businessanalysisisthepracticeofenablingchangeinanenterprisebydefining
needsandrecommendingsolutionsthatdelivervaluetostakeholders.Business
analysisenablesanenterprisetoarticulateneedsandtherationaleforchange,
andtodesignanddescribesolutionsthatcandelivervalue.
Businessanalysisisperformedonavarietyofinitiativeswithinanenterprise.
Initiativesmaybestrategic,tactical,oroperational.Businessanalysismaybe
performedwithintheboundariesofaprojectorthroughoutenterpriseevolution
andcontinuousimprovement.Itcanbeusedtounderstandthecurrentstate,to
definethefuturestate,andtodeterminetheactivitiesrequiredtomovefromthe
currenttothefuturestate.
Businessanalysiscanbeperformedfromadiversearrayofperspectives.The
BABOK Guidedescribesseveraloftheseperspectives:agile,business
intelligence,informationtechnology,businessarchitecture,andbusinessprocess
management.Aperspectivecanbethoughtofasalensthroughwhichthe
businessanalysispractitionerviewstheirworkactivitiesbasedonthecurrent
context.Oneormanyperspectivesmayapplytoaninitiative,andtheperspectives
outlinedintheBABOK Guidedonotrepresentallthecontextsforbusiness
analysisorthecompletesetofbusinessanalysisdisciplines.
1.3
WhoisaBusinessAnalyst?
Abusinessanalystisanypersonwhoperformsbusinessanalysistasksdescribedin
theBABOKGuide,nomattertheirjobtitleororganizationalrole.Business
analystsareresponsiblefordiscovering,synthesizing,andanalyzinginformation
2
Introduction
StructureoftheBABOK
Guide
fromavarietyofsourceswithinanenterprise,includingtools,processes,
documentation,andstakeholders.Thebusinessanalystisresponsibleforeliciting
theactualneedsofstakeholderswhichfrequentlyinvolvesinvestigatingand
clarifyingtheirexpresseddesiresinordertodetermineunderlyingissuesand
causes.
Businessanalystsplayaroleinaligningthedesignedanddeliveredsolutionswith
theneedsofstakeholders.Theactivitiesthatbusinessanalystsperforminclude:
understandingenterpriseproblemsandgoals,
analyzingneedsandsolutions,
devisingstrategies,
drivingchange,and
facilitatingstakeholdercollaboration.
Othercommonjobtitlesforpeoplewhoperformbusinessanalysisinclude:
businessarchitect,
businesssystemsanalyst,
dataanalyst,
enterpriseanalyst,
managementconsultant,
processanalyst,
productmanager,
productowner,
requirementsengineer,and
systemsanalyst.
1.4
StructureoftheBABOKGuide
ThecorecontentoftheBABOK Guideiscomposedofbusinessanalysistasks
organizedintoknowledgeareas.Knowledgeareasareacollectionoflogically
(butnotsequentially)relatedtasks.Thesetasksdescribespecificactivitiesthat
accomplishthepurposeoftheirassociatedknowledgearea.
TheBusinessAnalysisKeyConcepts,UnderlyingCompetencies,Techniques,and
PerspectivessectionsformtheextendedcontentintheBABOK Guidethathelps
guidebusinessanalyststobetterperformbusinessanalysistasks.
BusinessAnalysisKeyConcepts:definethekeytermsneededto
understandallothercontent,concepts,andideaswithintheBABOK
Guide.
UnderlyingCompetencies:provideadescriptionofthebehaviours,
characteristics,knowledge,andpersonalqualitiesthatsupporttheeffective
3
StructureoftheBABOK Guide
Introduction
Techniques:provideameanstoperformbusinessanalysistasks.The
techniquesdescribedintheBABOK Guideareintendedtocoverthemost
commonandwidespreadtechniquespracticedwithinthebusinessanalysis
community.
Perspectives:describevariousviewsofbusinessanalysis.Perspectiveshelp
businessanalystsworkingfromvariouspointsofviewtobetterperform
businessanalysistasks,giventhecontextoftheinitiative.
1.4.1
KeyConcepts
TheBusinessAnalysisKeyConceptschapterprovidesabasicunderstandingof
thecentralideasnecessaryforunderstandingtheBABOK Guide.
Thischapterconsistsof:
BusinessAnalysisCoreConceptModel(BACCM)
KeyTerms
RequirementsClassificationSchema
Stakeholders
RequirementsandDesign
1.4.2
KnowledgeAreas
Knowledgeareasrepresentareasofspecificbusinessanalysisexpertisethat
encompassseveraltasks.
Thesixknowledgeareasare:
Eachknowledge
areaincludesa
visual
representationof
itsinputsand
outputs.
BusinessAnalysisPlanningandMonitoring:describesthetasksthat
businessanalystsperformtoorganizeandcoordinatetheeffortsof
businessanalystsandstakeholders.Thesetasksproduceoutputsthatare
usedaskeyinputsandguidelinesfortheothertasksthroughoutthe
BABOK Guide.
ElicitationandCollaboration:describesthetasksthatbusinessanalysts
performtoprepareforandconductelicitationactivitiesandconfirmthe
resultsobtained.Italsodescribesthecommunicationwithstakeholders
oncethebusinessanalysisinformationisassembledandtheongoing
collaborationwiththemthroughoutthebusinessanalysisactivities.
RequirementsLifeCycleManagement:describesthetasksthatbusiness
analystsperforminordertomanageandmaintainrequirementsanddesign
informationfrominceptiontoretirement.Thesetasksdescribeestablishing
meaningfulrelationshipsbetweenrelatedrequirementsanddesigns,and
assessing,analyzingandgainingconsensusonproposedchangesto
requirementsanddesigns.
StrategyAnalysis:describesthebusinessanalysisworkthatmustbe
performedtocollaboratewithstakeholdersinordertoidentifyaneedof
strategicortacticalimportance(thebusinessneed),enabletheenterpriseto
4
Introduction
StructureoftheBABOK
Guide
addressthatneed,andaligntheresultingstrategyforthechangewith
higherandlowerlevelstrategies.
RequirementsAnalysisandDesignDefinition:describesthetasksthat
businessanalystsperformtostructureandorganizerequirements
discoveredduringelicitationactivities,specifyandmodelrequirementsand
designs,validateandverifyinformation,identifysolutionoptionsthatmeet
businessneeds,andestimatethepotentialvaluethatcouldberealizedfor
eachsolutionoption.Thisknowledgeareacoverstheincrementaland
iterativeactivitiesrangingfromtheinitialconceptandexplorationofthe
needthroughthetransformationofthoseneedsintoaparticular
recommendedsolution.
Thefollowingdiagramshowsageneralrelationshipbetweentheknowledge
areas.
Figure1.4.1:RelationshipsBetweenKnowledgeAreas
BusinessAnalysis
Planningand
Monitoring
StrategyAnalysis
Requirements
AnalysisandDesign
Definition
Elicitationand
Collaboration
RequirementsLife
CycleManagement
SolutionEvaluation
1.4.3
Tasks
Ataskisadiscretepieceofworkthatmaybeperformedformallyorinformallyas
partofbusinessanalysis.TheBABOK Guidedefinesalistofbusinessanalysis
tasks.Thedefinitionofagiventaskisuniversallyapplicabletobusinessanalysis
efforts,independentoftheinitiativetype.Abusinessanalystmayperformother
activitiesasassignedbytheirorganization,buttheseadditionalactivitiesarenot
5
SolutionEvaluation:describesthetasksthatbusinessanalystsperformto
assesstheperformanceofandvaluedeliveredbyasolutioninusebythe
enterprise,andtorecommendremovalofbarriersorconstraintsthat
preventthefullrealizationofthevalue.
Introduction
consideredtobepartofthebusinessanalysisprofession.
Tasksaregroupedintoknowledgeareas.Businessanalystsperformtasksfromall
knowledgeareassequentially,iteratively,orsimultaneously.TheBABOK Guide
doesnotprescribeaprocessoranorderinwhichtasksareperformed.Tasksmay
beperformedinanyorder,aslongasthenecessaryinputstoataskarepresent.
Abusinessanalysisinitiativemaystartwithanytask,althoughlikelycandidates
areAnalyzeCurrentState(p.103)orMeasureSolutionPerformance(p.166).
EachtaskintheBABOKGuideispresentedinthefollowingformat:
Purpose
Description
Inputs
Elements
Guidelines/Tools
Techniques
Stakeholders
Outputs
.1 Purpose
ThePurposesectionprovidesashortdescriptionofthereasonforabusiness
analysttoperformthetask,andthevaluecreatedthroughperformingthetask.
.2 Description
TheDescriptionsectionexplainsingreaterdetailwhatthetaskis,whyitis
performed,andwhatitshouldaccomplish.
.3 Inputs
TheInputssectionliststheinputsforthetask.Inputsareinformationconsumed
ortransformedtoproduceanoutput,andrepresenttheinformationnecessary
foratasktobegin.Theymaybeexplicitlygeneratedoutsidethescopeof
businessanalysisorgeneratedbyabusinessanalysistask.Inputsthatare
generatedoutsideofthebusinessanalysiseffortsareidentifiedwiththequalifier
'(external)'intheinputlist.
Thereisnoassumptionthatthepresenceofaninputmeansthattheassociated
deliverableiscompleteorinitsfinalstate.Theinputonlyneedstobesufficiently
completetoallowsuccessiveworktobegin.Anynumberofinstancesofaninput
mayexistduringthelifecycleofaninitiative.
TheInputssectionincludesavisualrepresentationoftheinputsandoutputs,the
othertasksthatusetheoutputs,aswellastheguidelinesandtoolslistedinthe
task.
.4 Elements
TheElementssectiondescribesthekeyconceptsthatareneededtounderstand
6
Introduction
StructureoftheBABOK
Guide
howtoperformthetask.Elementsarenotmandatoryaspartofperforminga
task,andtheirusagemightdependuponthebusinessanalysisapproach.
.5 GuidelinesandTools
TheGuidelinesandToolssectionlistsresourcesthatarerequiredtotransformthe
inputintoanoutput.Aguidelineprovidesinstructionsordescriptionsonwhyor
howtoundertakeatask.Atoolissomethingusedtoundertakeatask.
Guidelinesandtoolscanincludeoutputsofothertasks.
.6 Techniques
TheTechniquessectionliststhetechniquesthatcanbeusedtoperformthe
businessanalysistask.
TheStakeholderssectioniscomposedofagenericlistofstakeholderswhoare
likelytoparticipateinperformingthattaskorwhowillbeaffectedbyit.The
BABOK Guidedoesnotmandatethattheserolesbefilledforanygiven
initiative.
.8 Outputs
TheOutputssectiondescribestheresultsproducedbyperformingthetask.
Outputsarecreated,transformed,orchangedinstateasaresultofthesuccessful
completionofatask.Anoutputmaybeadeliverableorbeapartofalarger
deliverable.Theformofanoutputisdependentonthetypeofinitiative
underway,standardsadoptedbytheorganization,andbestjudgmentofthe
businessanalystastoanappropriatewaytoaddresstheinformationneedsofkey
stakeholders.
Aswithinputs,aninstanceofataskmaybecompletedwithoutanoutputbeing
initsfinalstate.Tasksthatuseaspecificoutputdonotnecessarilyhavetowait
foritscompletionforworkwithinthetasktobegin.
1.4.4
UnderlyingCompetencies
Underlyingcompetenciesreflectknowledge,skills,behaviours,characteristics,
andpersonalqualitiesthathelponesuccessfullyperformtheroleofthebusiness
analyst.Theseunderlyingcompetenciesarenotuniquetothebusinessanalysis
profession.However,successfulexecutionoftasksandtechniquesisoften
dependentonproficiencyinoneormoreunderlyingcompetencies.
Underlyingcompetencieshavethefollowingstructure:
Purpose
Definition
EffectivenessMeasures
.7 Stakeholders
Introduction
.1 Purpose
ThePurposesectiondescribeswhyitisbeneficialforbusinessanalyststohavethis
underlyingcompetency.
.2 Definition
TheDefinitionsectiondescribestheskillsandexpertiseinvolvedintheapplication
ofthiscompetency.
.3 EffectivenessMeasures
TheEffectivenessMeasuressectiondescribeshowtodeterminewhetheraperson
isdemonstratingskillsinthisunderlyingcompetency.
1.4.5
Techniques
Techniquesprovideadditionalinformationonwaysthatataskmaybeperformed.
ThelistoftechniquesincludedintheBABOK Guideisnotexhaustive.Thereare
multipletechniquesthatmaybeappliedalternativelyorinconjunctionwithother
techniquestoaccomplishatask.Businessanalystsareencouragedtomodify
existingtechniquesorengineernewonestobestsuittheirsituationandthegoals
ofthetaskstheyperform.
Techniqueshavethefollowingstructure:
Purpose
Description
Elements
UsageConsiderations
.1 Purpose
ThePurposesectiondescribeswhatthetechniqueisusedforandthe
circumstancesunderwhichitismostlikelytobeapplicable.
.2 Description
TheDescriptionsectiondescribeswhatthetechniqueisandhowitisused.
.3 Elements
TheElementssectiondescribeskeyconceptsthatareneededtounderstandhow
tousethetechnique.
.4 UsageConsiderations
TheUsageConsiderationssectiondescribestheconditionsunderwhichthe
techniquemaybemoreorlesseffective.
Introduction
1.4.6
StructureoftheBABOK
Guide
Perspectives
Perspectivesareusedwithinbusinessanalysisworktoprovidefocustotasksand
techniquesspecifictothecontextoftheinitiative.Mostinitiativesarelikelyto
engageoneormoreperspectives.TheperspectivesincludedintheBABOK
Guideare:
Agile
BusinessIntelligence
InformationTechnology
BusinessArchitecture
BusinessProcessManagement
Perspectivesarenotmutuallyexclusive,inthatagiveninitiativemightemploy
morethanoneperspective.
Perspectiveshavethefollowingstructure:
ChangeScope
BusinessAnalysisScope
Methodologies,Approaches,andTechniques
ImpactonKnowledgeAreas
.1 ChangeScope
TheChangeScopesectiondescribeswhatpartsoftheenterprisethechange
encompasseswhenviewedfromthisperspectiveandtowhatextentitimpacts
boththeobjectivesandoperationsoftheenterprise.Thechangescopealso
identifiesthetypeofproblemssolved,thenatureofthesolutionsbeingsought,
andtheapproachtodeliveringthesesolutionsandmeasuringtheirvalue.
.2 BusinessAnalysisScope
TheBusinessAnalysisScopesectiondescribesthekeystakeholders,includinga
profileofthelikelytypesofsponsors,thetargetstakeholders,andthebusiness
analyst'srolewithinaninitiative.Italsodefineslikelyoutcomesthatwouldbe
expectedfrombusinessanalysisworkinthisperspective.
.3 Methodologies,Approaches,andTechniques
Thecompositionofthissectionisuniquetoeachperspective.Ineachcaseit
describesthemethodologies,approaches,ortechniquesthatarecommonand
specifictotheapplicationofbusinessanalysisintheperspective.Methodologies
9
Theseperspectivesdonotpresumetorepresentallthepossibleperspectivesfrom
whichbusinessanalysisispracticed.TheperspectivesdiscussedintheBABOK
Guiderepresentsomeofthemorecommonviewsofbusinessanalysisatthetime
ofwriting.
Introduction
andapproachesarespecializedwaysofundertakingthebusinessanalysiswork.
Thetechniquesincludedinthissectionaretechniquesthatarenotincludedinthe
TechniqueschapteroftheBABOK Guidebutareespeciallyrelevanttothe
perspective.
IntheBusinessArchitectureperspective,referencemodelsarelistedinsteadof
methodologiesorapproaches.IntheBusinessProcessManagementperspective,
frameworksarelistedinsteadofapproaches.
.4 UnderlyingCompetencies
TheUnderlyingCompetenciessectiondescribesthecompetenciesthataremost
prevalentintheperspective.
.5 ImpactonKnowledgeAreas
TheImpactonKnowledgeAreassectiondescribeshowknowledgeareasare
appliedormodified.Italsoexplainshowspecificactivitieswithinaperspectiveare
mappedtotasksintheBABOK Guide.
10
TheBusinessAnalysisKeyConceptschapterincludesinformationthatprovidesa
Guide.
foundationforallothercontent,concepts,andideaswithintheBABOK
Itprovidesbusinessanalystswithabasicunderstandingofthecentralideas
necessaryforunderstandingandemployingtheBABOK Guideintheirdaily
Thischapterconsistsof:
BusinessAnalysisCoreConceptModel(BACCM):definesa
conceptualframeworkforthebusinessanalysisprofession.
KeyTerms:providesdefinitionsofessentialconcepts,whichare
highlightedbecauseoftheirimportancetotheBABOK Guide.
RequirementsClassificationSchema:identifieslevelsortypesof
requirementsthatassistthebusinessanalystandotherstakeholdersin
categorizingrequirements.
Stakeholders:definesroles,andcharacteristicsofgroupsorindividuals
participatinginoraffectedbythebusinessanalysisactivitieswithina
change.
RequirementsandDesigns:describesthedistinctionbetweenandthe
importanceofrequirementsanddesignsastheyrelatetobusiness
analysis.
11
BusinessAnalysisKeyConcepts
TheBusinessAnalysisCoreConceptModel
2.1
TheBusinessAnalysisCoreConceptModel(BACCM)isaconceptual
frameworkforbusinessanalysis.Itencompasseswhatbusinessanalysisisand
whatitmeanstothoseperformingbusinessanalysistasksregardlessof
perspective,industry,methodology,orlevelintheorganization.Itiscomposedof
sixtermsthathaveacommonmeaningtoallbusinessanalystsandhelpsthem
discussbothbusinessanalysisanditsrelationshipswithcommonterminology.
Eachofthesetermsisconsideredtobeacoreconcept.
ThesixcoreconceptsintheBACCMare:Change,Need,Solution,Stakeholder,
Value,andContext.Eachcoreconceptisanideafundamentaltothepracticeof
businessanalysis,andalltheconceptsareequalandnecessary.Eachcoreconcept
isdefinedbytheotherfivecoreconceptsandcannotbefullyunderstooduntilall
theconceptsareunderstood.Nosingleconceptholdsgreaterimportanceor
significanceoveranyotherconcept.Theseconceptsareinstrumentalto
understandingthetypeofinformationelicited,analyzed,ormanagedinbusiness
analysistasks.
TheBACCMcanbeusedto:
describetheprofessionanddomainofbusinessanalysis,
communicateaboutbusinessanalysiswithacommonterminology,
evaluatetherelationshipsofkeyconceptsinbusinessanalysis,
performbetterbusinessanalysisbyholisticallyevaluatingtherelationships
amongthesesixconcepts,and
evaluatetheimpactoftheseconceptsandrelationshipsatanypointduring
aworkeffortinordertoestablishbothafoundationandapathforward.
Table2.1.1:TheBACCM
CoreConcept
Description
Change
Theactoftransformationinresponsetoaneed.
Changeworkstoimprovetheperformanceofanenterprise.
Theseimprovementsaredeliberateandcontrolledthrough
businessanalysisactivities.
Need
Aproblemoropportunitytobeaddressed.
Needscancausechangesbymotivatingstakeholderstoact.
Changescanalsocauseneedsbyerodingorenhancingthe
valuedeliveredbyexistingsolutions.
Solution
Aspecificwayofsatisfyingoneormoreneedsinacontext.
Asolutionsatisfiesaneedbyresolvingaproblemfacedby
stakeholdersorenablingstakeholderstotakeadvantageof
anopportunity.
12
Table2.1.1:TheBACCM(Continued)
CoreConcept
Description
Stakeholder
Agrouporindividualwitharelationshiptothechange,the
need,orthesolution.
Stakeholdersareoftendefinedintermsofinterestin,impact
on,andinfluenceoverthechange.Stakeholdersare
groupedbasedontheirrelationshiptotheneeds,changes,
andsolutions.
Value
Theworth,importance,orusefulnessofsomethingtoa
stakeholderwithinacontext.
Valuecanbetangibleorintangible.Tangiblevalueisdirectly
measurable.Tangiblevalueoftenhasasignificantmonetary
component.Intangiblevalueismeasuredindirectly.
Intangiblevalueoftenhasasignificantmotivational
component,suchasacompany'sreputationoremployee
morale.
Insomecases,valuecanbeassessedinabsoluteterms,but
inmanycasesisassessedinrelativeterms:onesolution
optionismorevaluablethananotherfromtheperspectiveof
agivensetofstakeholders.
Context
Thecircumstancesthatinfluence,areinfluencedby,and
provideunderstandingofthechange.
Changesoccurwithinacontext.Thecontextiseverything
relevanttothechangethatiswithintheenvironment.
Contextmayincludeattitudes,behaviours,beliefs,
competitors,culture,demographics,goals,governments,
infrastructure,languages,losses,processes,products,
projects,sales,seasons,terminology,technology,weather,
andanyotherelementmeetingthedefinition.
Thecoreconceptscanbeusedbybusinessanalyststoconsiderthequalityand
completenessoftheworkbeingdone.Withineachknowledgeareadescription
thereareexamplesofhowthecoreconceptsmaybeusedand/orappliedduring
thetaskswithintheknowledgearea.Whileplanningorperformingataskor
technique,businessanalystscanconsiderhoweachcoreconceptisaddressedby
askingquestionssuchas:
Whatarethekindsofchangeswearedoing?
Whataretheneedswearetryingtosatisfy?
Whatarethesolutionswearecreatingorchanging?
13
Valuecanbeseenaspotentialorrealizedreturns,gains,and
improvements.Itisalsopossibletohaveadecreaseinvalue
intheformoflosses,risks,andcosts.
KeyTerms
Whoarethestakeholdersinvolved?
Whatdostakeholdersconsidertobeofvalue?
Whatarethecontextsthatweandthesolutionarein?
Ifanyofthecoreconceptsexperienceachange,itshouldcauseustoreevaluate
thesecoreconceptsandtheirrelationshipstovaluedelivery.
Figure2.1.1:TheBACCM
Changes
Needs
Solutions
Stakeholders
Contexts
Value
2.2
KeyTerms
BusinessAnalysis
Formore
information,see
WhatisBusiness
Analysis?(p.2).
TheBABOKGuidedescribesanddefinesbusinessanalysisasthepracticeof
enablingchangeinanenterprisebydefiningneedsandrecommendingsolutions
thatdelivervaluetostakeholders.
BusinessAnalysisInformation
Businessanalysisinformationreferstothebroadanddiversesetsofinformation
thatbusinessanalystsanalyze,transform,andreport.Itisinformationofany
14
KeyTerms
kindatanylevelofdetailthatisusedasaninputto,orisanoutputof,
businessanalysiswork.Examplesofbusinessanalysisinformationinclude
elicitationresults,requirements,designs,solutionoptions,solutionscope,and
changestrategy.
Itisessentialtoexpandtheobjectofmanybusinessanalysisactivitiesfrom
'requirements'to'information'toensurethatallinputsandoutputsofbusiness
analysisaresubjecttothetasksandactivitiesdescribedintheBABOK Guide.For
example,whenperforming'PlanBusinessAnalysisInformationManagement'it
includesalltheexampleslistedabove.IftheBABOK Guidedescribed'Plan
RequirementsManagement',itwouldexcludeimportantoutputslikeelicitation
results,solutionoptions,andchangestrategy.
Design
Adesignisausablerepresentationofasolution.Designfocuseson
understandinghowvaluemightberealizedbyasolutionifitisbuilt.Thenature
oftherepresentationmaybeadocument(orsetofdocuments)andcanvary
widelydependingonthecircumstances.
Enterprise
Anenterpriseisasystemofoneormoreorganizationsandthesolutionstheyuse
topursueasharedsetofcommongoals.Thesesolutions(alsoreferredtoas
organizationalcapabilities)canbeprocesses,toolsorinformation.Forthe
purposeofbusinessanalysis,enterpriseboundariescanbedefinedrelativetothe
changeandneednotbeconstrainedbytheboundariesofalegalentity,
organization,ororganizationalunit.Anenterprisemayincludeanynumberof
business,government,oranyothertypeoforganization.
Organization
Anautonomousgroupofpeopleunderthemanagementofasingleindividualor
board,thatworkstowardscommongoalsandobjectives.Organizationsoften
haveaclearlydefinedboundaryandoperateonacontinuousbasis,asopposed
toaninitiativeorprojectteam,whichmaybedisbandedonceitsobjectivesare
achieved.
Plan
Aplanisaproposalfordoingorachievingsomething.Plansdescribeasetof
events,thedependenciesamongtheevents,theexpectedsequence,the
schedule,theresultsoroutcomes,thematerialsandresourcesneeded,andthe
stakeholdersinvolved.
Requirement
Formore
information,see
Requirementsand
Designs(p.19).
Arequirementisausablerepresentationofaneed.Requirementsfocuson
understandingwhatkindofvaluecouldbedeliveredifarequirementisfulfilled.
Thenatureoftherepresentationmaybeadocument(orsetofdocuments),but
canvarywidelydependingonthecircumstances.
15
Formore
information,see
Requirementsand
Designs(p.19).
Risk
Riskistheeffectofuncertaintyonthevalueofachange,asolution,orthe
enterprise.Businessanalystscollaboratewithotherstakeholderstoidentify,
assess,andprioritizerisks,andtodealwiththoserisksbyalteringthelikelihoodof
theconditionsoreventsthatleadtotheuncertainty:mitigatingthe
consequences,removingthesourceoftherisk,avoidingtheriskaltogetherby
decidingnottostartorcontinuewithanactivitythatleadstotherisk,sharingthe
riskwithotherparties,oracceptingorevenincreasingtherisktodealwithan
opportunity.
2.3
ForthepurposesoftheBABOK Guide,thefollowingclassificationschema
describesrequirements:
Businessrequirements:statementsofgoals,objectives,andoutcomes
thatdescribewhyachangehasbeeninitiated.Theycanapplytothewhole
ofanenterprise,abusinessarea,oraspecificinitiative.
Stakeholderrequirements:describetheneedsofstakeholdersthatmust
bemetinordertoachievethebusinessrequirements.Theymayserveasa
bridgebetweenbusinessandsolutionrequirements.
Solutionrequirements:describethecapabilitiesandqualitiesofa
solutionthatmeetsthestakeholderrequirements.Theyprovidethe
appropriatelevelofdetailtoallowforthedevelopmentand
implementationofthesolution.Solutionrequirementscanbedividedinto
twosubcategories:
functionalrequirements:describethecapabilitiesthatasolution
musthaveintermsofthebehaviourandinformationthatthesolution
willmanage,and
Formore
information,see
NonFunctional
Requirements
Analysis(p.302).
2.4
nonfunctionalrequirementsorqualityofservicerequirements:
donotrelatedirectlytothebehaviouroffunctionalityofthesolution,
butratherdescribeconditionsunderwhichasolutionmustremain
effectiveorqualitiesthatasolutionmusthave.
Transitionrequirements:describethecapabilitiesthatthesolutionmust
haveandtheconditionsthesolutionmustmeettofacilitatetransitionfrom
thecurrentstatetothefuturestate,butwhicharenotneededoncethe
changeiscomplete.Theyaredifferentiatedfromotherrequirementstypes
becausetheyareofatemporarynature.Transitionrequirementsaddress
topicssuchasdataconversion,training,andbusinesscontinuity.
Stakeholders
Eachtaskincludesalistofstakeholderswhoarelikelytoparticipateinthe
executionofthattaskorwhowillbeaffectedbyit.Astakeholderisanindividual
orgroupthatabusinessanalystislikelytointeractwithdirectlyorindirectly.The
16
Stakeholders
BABOK Guidedoesnotmandatethattheserolesbefilledforanygiven
initiative.Anystakeholdercanbeasourceofrequirements,assumptions,or
constraints.
Thislistisnotintendedtobeanexhaustivelistofallpossiblestakeholder
classifications.Someadditionalexamplesofpeoplewhofitintoeachofthese
genericrolesarelistedinthedefinitionsbelow.Inmostcasestherewillbe
multiplestakeholderrolesfoundwithineachcategory.Similarly,asingle
individualmayfillmorethanonerole.
ForthepurposeoftheBABOK Guide,thegenericlistofstakeholdersincludes
thefollowingroles:
operationalsupport,
customer,
projectmanager,
domainsubjectmatterexpert,
regulator,
enduser,
sponsor,
implementationsubjectmatter
expert,
supplier,and
tester.
BusinessAnalyst
Thebusinessanalystisinherentlyastakeholderinallbusinessanalysisactivities.
TheBABOKGuidepresumesthatthebusinessanalystisresponsibleand
accountablefortheexecutionoftheseactivities.Insomecasesthebusiness
analystmayalsoberesponsibleforperformingactivitiesthatfallunderanother
stakeholderrole.
2.4.2
Customer
Acustomerusesormayuseproductsorservicesproducedbytheenterpriseand
mayhavecontractualormoralrightsthattheenterpriseisobligedtomeet.
2.4.3
DomainSubjectMatterExpert
Adomainsubjectmatterexpertisanyindividualwithindepthknowledgeofa
topicrelevanttothebusinessneedorsolutionscope.Thisroleisoftenfilledby
peoplewhomaybeendusersorpeoplewhohaveindepthknowledgeofthe
solutionsuchasmanagers,processowners,legalstaff,consultants,andothers.
2.4.4
EndUser
Endusersarestakeholderswhodirectlyinteractwiththesolution.Enduserscan
includeallparticipantsinabusinessprocess,orwhousetheproductorsolution.
2.4.5
ImplementationSubjectMatterExpert
Animplementationsubjectmatterexpertisanystakeholderwhohasspecialized
knowledgeregardingtheimplementationofoneormoresolutioncomponents.
17
2.4.1
businessanalyst,
Stakeholders
Whileitisnotpossibletodefinealistingofimplementationsubjectmatterexpert
rolesthatareappropriateforallinitiatives,someofthemostcommonrolesare:
projectlibrarian,changemanager,configurationmanager,solutionarchitect,
developer,databaseadministrator,informationarchitect,usabilityanalyst,trainer,
andorganizationalchangeconsultant.
2.4.6
OperationalSupport
Operationalsupportisresponsibleforthedaytodaymanagementand
maintenanceofasystemorproduct.
Whileitisnotpossibletodefinealistingofoperationalsupportrolesthatare
appropriateforallinitiatives,someofthemostcommonrolesare:operations
analyst,productanalyst,helpdesk,andreleasemanager.
2.4.7
ProjectManager
Projectmanagersareresponsibleformanagingtheworkrequiredtodelivera
solutionthatmeetsabusinessneed,andforensuringthattheproject'sobjectives
aremetwhilebalancingtheprojectfactorsincludingscope,budget,schedule,
resources,quality,andrisk.
Whileitisnotpossibletocompletelydefinealistingofprojectmanagementroles
thatareappropriateforallinitiatives,someofthemostcommonrolesare:project
lead,technicallead,productmanager,andteamleader.
2.4.8
Regulator
Regulatorsareresponsibleforthedefinitionandenforcementofstandards.
Standardscanbeimposedonthesolutionbyregulatorsthroughlegislation,
corporategovernancestandards,auditstandards,orstandardsdefinedby
organizationalcentersofcompetency.Alternaterolesaregovernment,regulatory
bodies,andauditor.
2.4.9
Sponsor
Sponsorsareresponsibleforinitiatingtheefforttodefineabusinessneedand
developasolutionthatmeetsthatneed.Theyauthorizetheworktobe
performed,andcontrolthebudgetandscopefortheinitiative.Alternaterolesare
executiveandprojectsponsor.
2.4.10
Supplier
Asupplierisastakeholderoutsidetheboundaryofagivenorganizationor
organizationalunit.Suppliersprovideproductsorservicestotheorganizationand
mayhavecontractualormoralrightsandobligationsthatmustbeconsidered.
Alternaterolesareproviders,vendors,andconsultants.
18
2.4.11
RequirementsandDesigns
Tester
Testersareresponsiblefordetermininghowtoverifythatthesolutionmeetsthe
requirementsdefinedbythebusinessanalyst,aswellasconductingthe
verificationprocess.Testersalsoseektoensurethatthesolutionmeetsapplicable
qualitystandards,andthattheriskofdefectsorfailuresisunderstoodand
minimized.Analternateroleisqualityassuranceanalyst.
2.5
Requirementsarefocusedontheneeddesignsarefocusedonthesolution.The
distinctionbetweenrequirementsanddesignsisnotalwaysclear.Thesame
techniquesareusedtoelicit,model,andanalyzeboth.Arequirementleadstoa
designwhichinturnmaydrivethediscoveryandanalysisofmorerequirements.
Theshiftinfocusisoftensubtle.
Theclassificationasarequirementoradesignmaybecomelesssignificantasthe
businessanalyst'sworkprogressestoagreaterunderstandingofandeventual
fulfillmentoftheneed.ThetasksintheBABOK GuidesuchasTrace
Requirements(p.79)orSpecifyandModelRequirements(p.136)mayreferto
requirements,buttheintentistoincludedesignsaswell.
Businessanalysiscanbecomplexandrecursive.Arequirement(orsetof
requirements)maybeusedtodefineadesign.Thatdesignmaythenbeusedto
elicitadditionalrequirementsthatareusedtodefinemoredetaileddesigns.The
businessanalystmayhandoffrequirementsanddesignstootherstakeholders
whomayfurtherelaborateonthedesigns.Whetheritisthebusinessanalystor
someotherrolethatcompletesthedesigns,thebusinessanalystoftenreviews
thefinaldesignstoensurethattheyalignwiththerequirements.
Thefollowingtableprovidessomebasicexamplesofhowinformationmaybe
viewedaseitherarequirementoradesign.
Table2.5.1:RequirementsandDesign
Requirement
Design
Viewsixmonthssalesdataacrossmultiple
organizationalunitsinasingleview.
Asketchofadashboard.
Reduceamountoftimerequiredtopick
andpackacustomerorder.
Processmodel.
Recordandaccessamedicalpatients
history.
Screenmockupshowingspecific
datafields.
19
Eliciting,analyzing,validating,andmanagingrequirementshaveconsistently
beenrecognizedaskeyactivitiesofbusinessanalysis.However,itisimportantto
recognizethatbusinessanalystsarealsoresponsibleforthedefinitionofdesign,
atsomelevel,inaninitiative.Thelevelofresponsibilityfordesignvariesbasedon
theperspectivewithinwhichabusinessanalystisworking.
Table2.5.1:RequirementsandDesign(Continued)
Requirement
Design
Developbusinessstrategy,goals,and
objectivesforanewbusiness.
BusinessCapabilityModel.
Stakeholdersmaypresentaneedorasolutiontoanassumedneed.Abusiness
analystusesactivitiesfoundinElicitationandCollaboration(p.53),Strategy
Analysis(p.99),RequirementsAnalysisandDesignDefinition(p.133),and
SolutionEvaluation(p.163)totransformthatrequestintoarequirementor
design.Regardlessofthefocusofthestakeholder,theimportanceoftheroleof
thebusinessanalystliesincontinuouslyaskingthequestionwhy?.Forexample,
Whyiseithertherequirementordesignnecessarytoprovidevaluetoan
enterpriseandtofacilitatetherealizationofanenterprisesgoalsandobjectives?
Figure2.5.1:RequirementsandDesignCycle
ut
s
me
co
WhydoIwantit?
De
s
As
s
ess
O
Business
Requirements
n
ig
Transition
Requirements
Whatarethe
conditions?
Cyclecontinuesuntil
requirementsaremet.
Stakeholder
Requirements
Whataretheneeds?
s
De
gn
ProvideinformationinEnglishandFrench. Prototypewithtextdisplayedin
EnglishandFrench.
ig
n
Solution
Requirements
WhatdoIwant?
20
s
De
TheBusinessAnalysisPlanningandMonitoringknowledgeareatasksorganize
andcoordinatetheeffortsofbusinessanalystsandstakeholders.Thesetasks
produceoutputsthatareusedaskeyguidelinesfortheothertasksthroughout
theBABOKGuide.
TheBusinessAnalysisPlanningandMonitoringknowledgeareaincludesthe
followingtasks:
PlanBusinessAnalysisApproach:describestheplanningofbusiness
analysisworkfromcreationorselectionofamethodologytoplanningthe
individualactivities,tasks,anddeliverables.
PlanStakeholderEngagement:describesunderstandingwhich
stakeholdersarerelevanttothechange,whatbusinessanalystsneedfrom
them,whattheyneedfrombusinessanalysts,andthebestwayto
collaborate.
PlanBusinessAnalysisGovernance:definesthecomponentsofbusiness
analysisthatareusedtosupportthegovernancefunctionofthe
organization.Ithelpsensurethatdecisionsaremadeproperlyand
consistently,andfollowsaprocessthatensuresdecisionmakershavethe
informationtheyneed.Examplesofthisincluderequirements
management,businessanalysisriskmanagement,andallocationof
businessanalysisresources.
PlanBusinessAnalysisInformationManagement:defineshow
informationdevelopedbybusinessanalysts(includingrequirementsand
designs)iscaptured,stored,andintegratedwithotherinformationfor
longtermuse.
21
BusinessAnalysisPlanning
andMonitoring
BusinessAnalysisPlanningandMonitoring
IdentifyBusinessAnalysisPerformanceImprovements:describes
managingandmonitoringhowbusinessanalysisworkisperformedto
ensurethatcommitmentsaremetandcontinuouslearningand
improvementopportunitiesarerealized.
TheCoreConceptModelinBusinessAnalysis
PlanningandMonitoring
TheBusinessAnalysisCoreConceptModel(BACCM)describesthe
relationshipsamongthesixcoreconcepts.Thefollowingtabledescribesthe
usageandapplicationofeachofthecoreconceptswithinthecontextofBusiness
AnalysisPlanningandMonitoring.
Table3.0.1:TheCoreConceptModelinBusinessAnalysisPlanningandMonitoring
CoreConcept
DuringBusinessAnalysisPlanningand
Monitoring,businessanalysts...
Change:theactof
transformationinresponsetoa
need.
areresponsiblefordetermininghow
changestobusinessanalysisresultswill
berequestedandauthorized.
Need:aproblemoropportunity
tobeaddressed.
chooseabusinessanalysisapproachthat
providesadequateanalysisforthe
change.
Solution:aspecificwayof
satisfyingoneormoreneedsina
context.
evaluateifbusinessanalysisperformance
wasakeycontributortothesuccessful
implementationofasolution.
Stakeholder:agroupor
individualwitharelationshipto
thechange,theneed,orthe
solution.
performastakeholderanalysistoensure
planningandmonitoringactivitiesreflect
stakeholderneedsandaccountfor
stakeholdercharacteristics.
Value:theworth,importance,or
usefulnessofsomethingtoa
conductperformanceanalysistoensure
businessanalysisactivitiescontinueto
producesufficientvalueforthe
stakeholders.
Context:thecircumstancesthat
influence,areinfluencedby,and
provideunderstandingofthe
change.
ensureacompleteunderstandingofthe
contextunderanalysisinordertodevelop
anefficientbusinessanalysisapproach.
22
Figure3.0.1:BusinessAnalysisPlanningandMonitoringInput/OutputDiagram
Input
Performance
Objectives(external)
Needs
Tasks
3.1
PlanBusiness
AnalysisApproach
3.2
PlanStakeholder
Engagement
3.5
IdentifyBusiness
Analysis
Performance
Improvements
Output
3.1
BusinessAnalysis
Approach
3.2
Stakeholder
Engagement
Approach
3.4
Information
Management
Approach
3.3
GovernanceApproach
3.5
BusinessAnalysis
Performance
Assessment
23
3.4
PlanBusiness
Analysis
Information
Management
3.3
PlanBusiness
Analysis
Governance
PlanBusinessAnalysisApproach
3.1
3.1.1
Purpose
ThepurposeofPlanBusinessAnalysisApproachistodefineanappropriate
methodtoconductbusinessanalysisactivities.
3.1.2
Description
Businessanalysisapproachesdescribetheoverallmethodthatwillbefollowed
whenperformingbusinessanalysisworkonagiveninitiative,howandwhen
taskswillbeperformed,andthedeliverablesthatwillbeproduced.
Thebusinessanalystmayalsoidentifyaninitialsetoftechniquestouse.Thislist
maychangeastheinitiativeproceedsandthebusinessanalystgainsadeeper
understandingofthechangeanditsstakeholders.
Thebusinessanalysisapproachmaybedefinedbyamethodologyorby
organizationalstandards.Insomeorganizations,elementsofthebusiness
analysisapproachmaybestandardizedandformalizedintoarepeatablebusiness
analysisprocesswhichcanbeleveragedforeacheffort.Evenwhereastandard
approachexists,itmaybetailoredtotheneedsofaspecificinitiative.Tailoring
maybegovernedbystandardsthatdefinewhichapproachesarepermitted,
whichelementsofthoseprocessesmaybetailored,andgeneralguidelinesfor
selectingaprocess.
Iforganizationalstandardsdonotexist,thebusinessanalystworkswiththe
appropriatestakeholderstodeterminehowtheworkwillbecompleted.For
example,ifthechangeisdeliveredviaaproject,thestandardsandapproachmay
bedevelopedduringtheprojectplanningphase.
Thebusinessanalysisapproachshould:
aligntotheoverallgoalsofthechange,
coordinatethebusinessanalysistaskswiththeactivitiesanddeliverablesof
theoverallchange,
includetaskstomanageanyrisksthatcouldreducethequalityofbusiness
analysisdeliverablesorimpedetaskefficiency,and
leverageapproachesandselecttechniquesandtoolsthathavehistorically
workedwell.
3.1.3
Inputs
Needs:thebusinessanalysisapproachisshapedbytheproblemoropportunity
facedbytheorganization.Itisnecessarytoconsiderwhatisknownaboutthe
needatthetimeofplanning,whileacknowledgingthatunderstandingevolves
throughoutbusinessanalysisactivities.
24
Figure3.1.1:PlanBusinessAnalysisApproachInput/OutputDiagram
Input
GuidelinesandTools
BusinessAnalysis
PerformanceAssessment
Needs
BusinessPolicies
3.1PlanBusinessAnalysis
Approach
ExpertJudgment
Output
StakeholderEngagement
Approach
3.1
BusinessAnalysis
Approach
TasksUsingThisOutput
3.2
PlanStakeholder
Engagement
3.3
PlanBusiness
Analysis
Governance
3.4
PlanBusiness
Analysis
Information
Management
3.5
IdentifyBusiness
Analysis
Performance
Improvements
4.1
Preparefor
Elicitation
4.2
ConductElicitation
4.4
Communicate
BusinessAnalysis
Information
4.5
Manage
Stakeholder
Collaboration
6.1
AnalyzeCurrent
State
6.4
DefineChange
Strategy
25
6.3
AssessRisks
Methodologiesand
Frameworks
3.1.4
Elements
.1 PlanningApproach
Therearevariousplanningmethodsusedacrossperspectives,industries,and
enterprises.Manyplanningmethodsfitsomewherealongacontinuumbetween
predictiveandadaptiveapproaches.
Predictiveapproachesfocusonminimizingupfrontuncertaintyandensuringthat
thesolutionisdefinedbeforeimplementationbeginsinordertomaximizecontrol
andminimizerisk.Theseapproachesareoftenpreferredinsituationswhere
requirementscaneffectivelybedefinedaheadofimplementation,theriskofan
incorrectimplementationisunacceptablyhigh,orwhenengagingstakeholders
presentssignificantchallenges.
Adaptiveapproachesfocusonrapiddeliveryofbusinessvalueinshortiterations
inreturnforacceptanceofahigherdegreeofuncertaintyregardingtheoverall
deliveryofthesolution.Theseapproachestendtobepreferredwhentakingan
exploratoryapproachtofindingthebestsolutionorforincrementalimprovement
ofanexistingsolution.
Differentapproachesmaybeusedwithinthesameinitiative.Amongother
factors,thebusinessanalystmayconsidertheorganizationsstandards,tolerance
foruncertainty,andpreviousexperiencewithdifferentapproacheswhen
planningforbusinessanalysisactivities.
Regardlessoftheapproach,planningisanessentialtasktoensurevalueis
deliveredtoanenterprise.Planningtypicallyoccursmorethanonceonagiven
initiativeasplansareupdatedtoaddresschangingbusinessconditionsandnewly
raisedissues.Thebusinessanalysisapproachshoulddescribehowplanswillbe
alteredifchangesarerequired.
.2 FormalityandLevelofDetailofBusinessAnalysisDeliverables
Whendefiningthebusinessanalysisapproach,considerthelevelofformalitythat
isappropriateforapproachingandplanningtheinitiative.
Predictiveapproachestypicallycallforformaldocumentationand
representations.Businessanalysisinformationmaybecapturedinaformal
documentorsetofrepresentationsfollowingstandardizedtemplates.
Informationiscapturedatvariouslevelsofdetail.Thespecificcontentandformat
ofbusinessanalysisinformationcanvarydependingontheorganizational
methodologies,processes,andtemplatesinuse.
Adaptiveapproachesfavourdefiningrequirementsanddesignsthroughteam
interactionandgatheringfeedbackonaworkingsolution.Mandatory
requirementsrepresentationsareoftenlimitedtoaprioritizedrequirementslist.
Additionalbusinessanalysisdocumentationmaybecreatedatthediscretionof
theteam,andgenerallyconsistsofmodelsdevelopedtoenhancetheteams
understandingofaspecificproblem.Formaldocumentationisoftenproduced
afterthesolutionisimplementedtofacilitateknowledgetransfer.
26
Otherconsiderationsthatmayaffecttheapproachinclude:
thechangeiscomplexandhighrisk,
theorganizationisin,orinteractswith,heavilyregulatedindustries,
contractsoragreementsnecessitateformality,
stakeholdersaregeographicallydistributed,
resourcesareoutsourced,
staffturnoverishighand/orteammembersmaybeinexperienced,
requirementsmustbeformallysignedoff,and
businessanalysisinformationmustbemaintainedlongtermorhanded
overforuseonfutureinitiatives.
Approach
Predictive
Adaptive
Solution
Definition
Definedbefore
Definediniterationsto
implementationtomaximizearriveatbestsolutionor
controlandminimizerisk. improveanexistingsolution.
Levelof
Formality
Formalinformationis
capturedinstandardized
templates.
Informalinformationis
gatheredthroughteam
interactionandfeedback.
Activities
Activitiesrequiredto
completedeliverablesare
identifiedfirstandthen
dividedintotasks.
Activitiesaredividedinto
iterationswithdeliverables
firstandthentheassociated
tasksareidentified.
Tasksareperformedin
specificphases.
Tasksareperformed
iteratively.
Timing
.3 BusinessAnalysisActivities
Abusinessanalysisapproachprovidesadescriptionofthetypesofactivitiesthat
thebusinessanalystwillperform.Frequentlytheorganizationsadopted
methodologiesinfluencetheactivitiesthatareselected.
Integratingbusinessanalysisactivitiesinthebusinessanalysisapproachincludes:
identifyingtheactivitiesrequiredtocompleteeachdeliverableandthen
breakingeachactivityintotasks,
dividingtheworkintoiterations,identifyingthedeliverablesforeach
iteration,andthenidentifyingtheassociatedactivitiesandtasks,or
27
Figure3.1.2:FormalityandLevelofDetailofBusinessAnalysisDeliverables
usingaprevioussimilarinitiativeasanoutlineandapplyingthedetailed
tasksandactivitiesuniquetothecurrentinitiative.
.4 TimingofBusinessAnalysisWork
Businessanalystsdeterminewhenthebusinessanalysistasksneedtobe
performedandifthelevelofbusinessanalysiseffortwillneedtovaryovertime.
Thistypeofplanningincludesdeterminingwhetherthebusinessanalysistasks
performedwithintheotherknowledgeareaswillbeperformedprimarilyin
specificphasesoriterativelyoverthecourseoftheinitiative.
Thetimingofbusinessanalysisactivitiescanalsobeaffectedby:
theavailabilityofresources,
priorityand/orurgencyoftheinitiative,
otherconcurrentinitiatives,or
constraintssuchascontracttermsorregulatorydeadlines.
.5 ComplexityandRisk
Thecomplexityandsizeofthechangeandtheoverallriskoftheefforttothe
organizationareconsideredwhendeterminingthebusinessanalysisapproach.As
complexityandriskincreaseordecrease,thenatureandscopeofbusiness
analysisworkcanbealteredandreflectedintheapproach.
Theapproachmayalsobealteredbasedonthenumberofstakeholdersor
businessanalysisresourcesinvolvedintheinitiative.Asthenumberof
stakeholdersincreases,theapproachmaybeadjustedtoincludeadditional
processstepstobettermanagethebusinessanalysiswork.
Otherfactorsthatcanimpactcomplexityinclude:
sizeofthechange,
numberofbusinessareasorsystemsaffected,
geographicandculturalconsiderations,
technologicalcomplexities,and
anyrisksthatcouldimpedethebusinessanalysiseffort.
Factorsthatcanimpacttherisklevelofabusinessanalysiseffortinclude:
experiencelevelofthebusinessanalyst,
extentofdomainknowledgeheldbythebusinessanalyst,
levelofexperiencestakeholdershaveincommunicatingtheirneeds,
stakeholderattitudesaboutthechangeandbusinessanalysisingeneral,
amountoftimeallocatedbystakeholderstothebusinessanalysisactivities,
anypreselectedframework,methodology,tools,and/ortechniques
28
imposedbyorganizationalpoliciesandpractices,and
culturalnormsoftheorganization.
.6 Acceptance
Thebusinessanalysisapproachisreviewedandagreeduponbykeystakeholders.
Insomeorganizations,thebusinessanalysisprocessmaybemorestructuredand
requirekeystakeholderstosignoffontheapproachtoensureallbusiness
analysisactivitieshavebeenidentified,estimatesarerealistic,andtheproposed
rolesandresponsibilitiesarecorrect.Anyissuesraisedbystakeholderswhen
reviewingtheapproacharedocumentedbythebusinessanalystandresolutions
aresought.Stakeholdersalsoplayaroleinreviewingandacceptingchangesto
theapproachasalterationsaremadetoaccommodatechangingconditions
acrosstheinitiative.
GuidelinesandTools
BusinessAnalysisPerformanceAssessment:providesresultsofprevious
assessmentsthatshouldbereviewedandincorporatedintoallplanning
approaches.
BusinessPolicies:definethelimitswithinwhichdecisionsmustbemade.They
maybedescribedbyregulations,contracts,agreements,deals,warranties,
certifications,orotherlegalobligations.Thesepoliciescaninfluencethe
businessanalysisapproach.
ExpertJudgment:usedtodeterminetheoptimalbusinessanalysisapproach.
Expertisemaybeprovidedfromawiderangeofsourcesincludingstakeholders
ontheinitiative,organizationalCentresofExcellence,consultants,or
associationsandindustrygroups.Priorexperiencesofthebusinessanalystand
otherstakeholdersshouldbeconsideredwhenselectingormodifyingan
approach.
MethodologiesandFrameworks:shapetheapproachthatwillbeusedby
providingmethods,techniques,procedures,workingconcepts,andrules.They
mayneedtobetailoredtobettermeettheneedsofthespecificbusiness
challenge.
StakeholderEngagementApproach:understandingthestakeholdersand
theirconcernsandinterestsmayinfluencedecisionsmadewhendetermining
thebusinessanalysisapproach.
3.1.6
Techniques
Brainstorming:usedtoidentifypossiblebusinessanalysisactivities,
techniques,risksandotherrelevantitemstohelpbuildthebusinessanalysis
approach.
BusinessCases:usedtounderstandwhetherelementsoftheproblemor
opportunityareespeciallytimesensitive,highvalue,orwhetherthereisany
particularuncertaintyaroundelementsofthepossibleneedorsolution.
29
3.1.5
DocumentAnalysis:usedtoreviewexistingorganizationalassetsthatmight
assistinplanningtheapproach.
Estimation:usedtodeterminehowlongitmaytaketoperformbusiness
analysisactivities.
FinancialAnalysis:usedtoassesshowdifferentapproaches(andthe
supporteddeliveryoptions)affectthevaluedelivered.
FunctionalDecomposition:usedtobreakdowncomplexbusinessanalysis
processesorapproachesintomorefeasiblecomponents.
Interviews:usedtohelpbuildtheplanwithanindividualorsmallgroup.
ItemTracking:usedtotrackanyissuesraisedduringplanningactivitieswith
stakeholders.Canalsotrackriskrelateditemsraisedduringdiscussionswhen
buildingtheapproach.
LessonsLearned:usedtoidentifyanenterprisespreviousexperience(both
successesandchallenges)withplanningbusinessanalysisapproach.
ProcessModelling:usedtodefineanddocumentthebusinessanalysis
approach.
Reviews:usedtovalidatetheselectedbusinessanalysisapproachwith
stakeholders.
RiskAnalysisandManagement:usedtoassessrisksinordertoselectthe
properbusinessanalysisapproach.
ScopeModelling:usedtodeterminetheboundariesofthesolutionasan
inputtoplanningandtoestimating.
SurveyorQuestionnaire:usedtoidentifypossiblebusinessanalysisactivities,
techniques,risksandotherrelevantitemstohelpbuildthebusinessanalysis
approach.
Workshops:usedtohelpbuildtheplaninateamsetting.
3.1.7
Stakeholders
DomainSubjectMatterExpert:canbeasourceofriskwhentheir
involvementisrequiredandavailabilityislacking.Theapproachtakenmay
dependonavailabilityandleveloftheirinvolvementwiththeinitiative.
ProjectManager:determinesthattheapproachisrealisticfortheoverall
scheduleandtimelines.Thebusinessanalysisapproachmustbecompatible
withotheractivities.
Regulator:maybeneededtoprovideapprovalforaspectsofthebusiness
analysisapproachordecisionsmadeintailoringtheprocess,especiallyin
organizationswherethebusinessanalysisprocessisaudited.
Sponsor:canprovideneedsandobjectivesfortheapproachandensuresthat
organizationalpoliciesarefollowed.Theselectedapproachmaydependon
availabilityandinvolvementwiththeinitiative.
30
3.1.8
PlanStakeholderEngagement
Outputs
BusinessAnalysisApproach:identifiesthebusinessanalysisapproachand
activitiesthatwillbeperformedacrossaninitiativeincludingwhowillperform
theactivities,thetimingandsequencingofthework,thedeliverablesthatwill
beproducedandthebusinessanalysistechniquesthatmaybeutilized.The
remainingoutputsoftheBusinessAnalysisPlanningandMonitoringknowledge
areamaybeintegratedintoanoverallapproachorbeindependentbasedupon
methodology,organization,andperspective.
3.2
Purpose
ThepurposeofPlanStakeholderEngagementistoplananapproachfor
establishingandmaintainingeffectiveworkingrelationshipswiththe
stakeholders.
3.2.2
Description
PlanStakeholderEngagementinvolvesconductingathoroughstakeholder
analysistoidentifyalloftheinvolvedstakeholdersandanalyzetheir
characteristics.Theresultsoftheanalysisarethenutilizedtodefinethebest
collaborationandcommunicationapproachesfortheinitiativeandto
appropriatelyplanforstakeholderrisks.
Whenplanningforstakeholderengagement,thedegreeofcomplexitycan
increasedisproportionatelyasthenumberofstakeholdersinvolvedinthe
businessanalysisactivitiesincreases.Thisisimportantbecausenewordifferent
techniquesforthemanagementofstakeholdersmayberequiredwhenthe
engagementmovesfromcollaboratingwithafewstakeholdersintodozens,
hundreds,oreventhousandsofpeople.
3.2.3
Inputs
Needs:understandingthebusinessneedandthepartsoftheenterprisethatit
affectshelpsintheidentificationofstakeholders.Theneedmayevolveas
stakeholderanalysisisperformed.
BusinessAnalysisApproach:incorporatingtheoverallbusinessanalysis
approachintothestakeholderanalysis,collaboration,andcommunication
approachesisnecessarytoensureconsistencyacrosstheapproaches.
31
3.2.1
Figure3.2.1:PlanStakeholderEngagementInput/OutputDiagram
Input
3.1
BusinessAnalysis
Approach
Needs
GuidelinesandTools
BusinessAnalysis
3.2PlanStakeholder
Engagement
ChangeStrategy
Output
CurrentStateDescription
3.2
Stakeholder
Engagement
Approach
3.2.4
3.1
PlanBusiness
AnalysisApproach
3.3
PlanBusiness
Analysis
Governance
3.4
PlanBusiness
Analysis
Information
Management
4.1
Preparefor
Elicitation
4.2
ConductElicitation
4.4
Communicate
BusinessAnalysis
Information
4.5
Manage
Stakeholder
Collaboration
6.3
AssessRisks
6.4
DefineChange
Strategy
Elements
.1 PerformStakeholderAnalysis
Stakeholderanalysisinvolvesidentifyingthestakeholders(whowillbedirectlyor
indirectlyimpactedbythechange)andtheircharacteristics,aswellasanalyzing
theinformationoncecollected.Stakeholderanalysisisperformedrepeatedlyas
businessanalysisactivitiescontinue.
Athoroughanddetailedstakeholderlistensuresthatstakeholdersarenot
overlooked.Understandingwhothestakeholdersare,theimpactofproposed
changesonthem,andtheinfluencetheymayhaveonthechangeisvitalto
understandingwhatneeds,wants,andexpectationsmustbesatisfiedbya
32
solution.Ifstakeholdersarenotidentified,thebusinessanalystmaymiss
uncoveringcriticalneeds.Stakeholderneedsuncoveredlatewilloftenrequirea
revisiontobusinessanalysistasksthatareeitherinprogressorarecompleted.
Thiscanresultinincreasedcostsanddecreasedstakeholdersatisfaction.
Howbusinessanalystsperformstakeholderanalysiscanvarybetweenprojects,
methodologies,andorganizations.Acompanysorganizationalchartand
businessprocessescanserveasaninitialsourceforidentifyinginternal
stakeholders.Thesponsormayalsoidentifystakeholders.Stakeholdersoutside
theorganizationmaybeidentifiedandcanbeuncoveredbyunderstandingany
existingcontractsthatmaybeinplace,anticipatedvendorsthatmayhavearole
basedonexistingrelationshipswiththeorganization,aswellasregulatoryand
governingbodiesthatmayinfluencethework.Shareholders,customers,and
suppliersarealsoconsideredwhensearchingforexternalstakeholders.
Businessanalystsidentifystakeholderrolesinordertounderstandwhereand
howthestakeholderswillcontributetotheinitiative.Itisimportantthatthe
businessanalystisawareofthevariousrolesastakeholderisresponsiblefor
withintheorganization.
Attitudes
Stakeholderattitudescanpositivelyornegativelyimpactachange.Business
analystsidentifystakeholderattitudesinordertofullyunderstandwhatmay
impactastakeholdersactionsandbehaviours.Knowinghowastakeholder
perceivestheinitiativeallowsanopportunityforthebusinessanalystto
specificallyplantheircollaborationandengagementwiththatstakeholder.
Businessanalystsanalyzestakeholderattitudesabout:
businessgoals,objectivesoftheinitiative,andanyproposedsolutions,
businessanalysisingeneral,
thelevelofinterestinthechange,
thesponsor,
teammembersandotherstakeholders,and
collaborationandateambasedapproach.
Stakeholderswithpositiveattitudesmaybestrongchampionsandgreat
contributors.Otherstakeholdersmaynotseevalueinthework,may
misunderstandthevaluebeingprovided,ormaybeconcernedabouttheeffect
thechangewillhaveonthem.Stakeholderswhoareexpectedtoserveinkey
rolesandparticipateheavilyinbusinessanalysisactivities,butwhoviewachange
negatively,mayrequirecollaborationapproachesthatincreasetheircooperation.
DecisionMakingAuthority
Businessanalystsidentifytheauthoritylevelastakeholderpossessesoverbusiness
analysisactivities,deliverables,andchangestobusinessanalysiswork.
33
Roles
Understandingauthoritylevelsupfronteliminatesconfusionduringthebusiness
analysiseffortandensuresthebusinessanalystcollaborateswiththeproper
stakeholderswhenlookingforadecisiontobemadeorseekingapprovals.
LevelofPowerorInfluence
Understandingthenatureofinfluenceandtheinfluencestructuresandchannels
withinanorganizationcanproveinvaluablewhenseekingtobuildrelationships
andtrust.Understandingtheinfluenceandattitudeeachstakeholdermayhave
canhelpdevelopstrategiesforobtainingbuyinandcollaboration.Business
analystsevaluatehowmuchinfluenceisneededtoimplementachange
comparedtotheamountofinfluencethekeystakeholderscanbring.Ifthereisa
mismatchbetweentheinfluencerequiredandtheamountofinfluencethe
stakeholderhasorisperceivedtohave,businessanalystsdevelopriskplans,
responsesandotherstrategiesthatmightbeneededtoobtaintherequiredlevel
ofsupport.
.2 DefineStakeholderCollaboration
Ensuringeffectivecollaborationwithstakeholdersisessentialformaintaining
theirengagementinbusinessanalysisactivities.Collaborationcanbea
spontaneousevent.However,muchcollaborationisdeliberateandplanned,with
specificactivitiesandoutcomesdeterminedaheadoftimeduringplanning
activities.
Thebusinessanalystmayplandifferentcollaborationapproachesforinternaland
externalstakeholders,andapproachesmaydifferbybusinessanalysisactivity.The
objectiveistoselecttheapproachesthatworkbesttomeettheneedsofeach
stakeholdergroupandensuretheirinterestandinvolvementismaintainedacross
theinitiative.Someconsiderationswhenplanningcollaborationinclude:
timingandfrequencyofcollaboration,
location,
availabletoolssuchaswikisandonlinecommunities,
deliverymethodsuchasinpersonorvirtual,and
preferencesofthestakeholders.
Planningconsiderationscanbedocumentedintheformofastakeholder
collaborationplan.Asfactorschange,planscanberevisited,andadjustments
andadaptationscanbemadetoensureongoingengagementofstakeholders.
.3 StakeholderCommunicationNeeds
Thebusinessanalystevaluates:
whatneedstobecommunicated,
whatistheappropriatedeliverymethod(writtenorverbal),
whotheappropriateaudienceis,
whencommunicationshouldoccur,
frequencyofcommunication,
34
geographiclocationofstakeholderswhowillreceivecommunications,
levelofdetailappropriateforthecommunicationandstakeholder,and
levelofformalityofcommunications.
Communicationconsiderationscanbedocumentedintheformofastakeholder
communicationplan.Businessanalystsbuildandreviewcommunicationplans
withstakeholderstoensuretheircommunicationrequirementsandexpectations
aremet.
3.2.5
GuidelinesandTools
assessmentsthatshouldbereviewedandincorporated.
CurrentStateDescription:providesthecontextwithinwhichtheworkneeds
tobecompleted.Thisinformationwillleadtomoreeffectivestakeholder
analysisandbetterunderstandingoftheimpactofthedesiredchange.
3.2.6
Techniques
Brainstorming:usedtoproducethestakeholderlistandidentifystakeholder
rolesandresponsibilities.
BusinessRulesAnalysis:usedtoidentifystakeholderswhowerethesource
ofthebusinessrules.
DocumentAnalysis:usedtoreviewexistingorganizationalassetsthatmight
assistinplanningstakeholderengagement.
Interviews:usedtointeractwithspecificstakeholderstogainmore
informationorknowledgeaboutstakeholdergroups.
LessonsLearned:usedtoidentifyanenterprisespreviousexperience(both
successesandchallenges)withplanningstakeholderengagement.
MindMapping:usedtoidentifypotentialstakeholdersandhelpunderstand
therelationshipsbetweenthem.
OrganizationalModelling:usedtodetermineiftheorganizationalunitsor
peoplelistedhaveanyuniqueneedsandintereststhatshouldbeconsidered.
Organizationalmodelsdescribetherolesandfunctionsintheorganizationand
thewaysinwhichstakeholdersinteractwhichcanhelptoidentifystakeholders
whowillbeaffectedbyachange.
ProcessModelling:usedtocategorizestakeholdersbythesystemsthat
supporttheirbusinessprocesses.
RiskAnalysisandManagement:usedtoidentifyriskstotheinitiative
resultingfromstakeholderattitudesortheinabilityofkeystakeholdersto
participateintheinitiative.
35
ChangeStrategy:usedforimprovedassessmentofstakeholderimpactand
thedevelopmentofmoreeffectivestakeholderengagementstrategies.
ScopeModelling:usedtodevelopscopemodelstoshowstakeholdersthat
falloutsidethescopeofthesolutionbutstillinteractwithitinsomeway.
StakeholderList,Map,orPersonas:usedtodepicttherelationshipof
stakeholderstothesolutionandtooneanother.
SurveyorQuestionnaire:usedtoidentifysharedcharacteristicsofa
stakeholdergroup.
Workshops:usedtointeractwithgroupsofstakeholderstogainmore
informationaboutstakeholdergroups.
3.2.7
Stakeholders
Customers:asourceofexternalstakeholders.
DomainSubjectMatterExpert:mayhelptoidentifystakeholdersandmay
themselvesbeidentifiedtofulfilloneormorerolesontheinitiative.
EndUser:asourceofinternalstakeholders.
ProjectManager:maybeabletoidentifyandrecommendstakeholders.
Responsibilityforstakeholderidentificationandmanagementmaybeshared
withthebusinessanalyst.
Regulator:mayrequirethatspecificstakeholderrepresentativesorgroupsbe
involvedinthebusinessanalysisactivities.
Sponsor:mayrequestthatspecificstakeholdersbeinvolvedinthebusiness
analysisactivities.
Supplier:asourceofexternalstakeholders.
3.2.8
Outputs
StakeholderEngagementApproach:containsalistofthestakeholders,
theircharacteristicswhichwereanalyzed,andalistingofrolesand
responsibilitiesforthechange.Italsoidentifiesthecollaborationand
communicationapproachesthebusinessanalystwillutilizeduringtheinitiative.
36
3.3
3.3.1
PlanBusinessAnalysisGovernance
Purpose
ThepurposeofPlanBusinessAnalysisGovernanceistodefinehowdecisionsare
madeaboutrequirementsanddesigns,includingreviews,changecontrol,
approvals,andprioritization.
3.3.2
Description
Whenplanningthegovernanceapproach,businessanalystsidentify:
howbusinessanalysisworkwillbeapproachedandprioritized,
whattheprocessforproposingachangetobusinessanalysisinformationis,
whohastheauthorityandresponsibilitytoproposechangesandwho
shouldbeinvolvedinthechangediscussions,
whohasresponsibilityforanalyzingchangerequests,
whohastheauthoritytoapprovechanges,and
howchangeswillbedocumentedandcommunicated.
3.3.3
Inputs
approachintothegovernanceapproachisnecessarytoensureconsistency
acrosstheapproaches.
StakeholderEngagementApproach:identifyingstakeholdersand
understandingtheircommunicationandcollaborationneedsisusefulin
determiningtheirparticipationinthegovernanceapproach.Theengagement
approachmaybeupdatedbasedonthecompletionofthegovernance
approach.
37
Businessanalystsensurethatagovernanceprocessisinplaceandclarifyany
ambiguitieswithinit.Agovernanceprocessidentifiesthedecisionmakers,
process,andinformationrequiredfordecisionstobemade.Agovernance
processdescribeshowapprovalsandprioritizationdecisionsaremadefor
requirementsanddesigns.
Figure3.3.1:PlanBusinessAnalysisGovernanceInput/OutputDiagram
Input
3.1
BusinessAnalysis
Approach
GuidelinesandTools
BusinessAnalysis
BusinessPolicies
3.2Stakeholder
Engagement
Approach
Governance
Output
Legal/Regulatory
Information
3.3
Governance
Approach
3.3.4
3.4
PlanBusiness
Analysis
Information
Management
5.3
Prioritize
Requirements
5.4
Assess
Requirements
Changes
5.5
Approve
Requirements
Elements
.1 DecisionMaking
Decisionsaremadethroughouttheinitiative.Astakeholdermayserveinvarious
rolesinthedecisionmakingprocesssuchas:
participantindecisionmakingdiscussions,
subjectmatterexpert(SME)lendingexperienceandknowledgetothe
decisionmakingprocess,
reviewerofinformation,and
approverofdecisions.
Thedecisionmakingprocessdefineswhathappenswhenteamscannotreach
consensus,byidentifyingescalationpathsandkeystakeholderswhoholdfinal
decisionmakingauthority.
38
.2 ChangeControlProcess
Whenbusinessanalystsdevelopachangecontrolprocess,they:
Determinetheprocessforrequestingchanges:specifywhich
requirementsanddesignsthechangecontrolprocesscoversanddetermine
whetheritappliestoallchangesoronlytochangesofaspecificsize,cost,
orlevelofeffort.Thisprocessdetailsthestepsforproposingachange,
whenchangescanbeproposed,whocanproposechangesandhow
changerequestsarecommunicated.
Determinetheelementsofthechangerequest:identifythe
informationtobeincludedinaproposaltosupportdecisionmakingand
implementationifitisapproved.
Possiblecomponentstoconsideronachangerequestare:
Benefits:anexplanationofhowthechangealignswiththeinitiative
andbusinessobjectivestoshowhowthechangeaddsvalue.Benefits
consideredincludebothfinancialbenefitsandtacticalbenefitssuchas
implicationstoscope,time,cost,quality,andresources.
Risks:ananalysisofriskstotheinitiative,thesolution,orbusiness
objectives.
Priority:thelevelofimportanceofthechangerelativetootherfactors
suchasorganizationalobjectives,regulatorycompliancerequirements,
andstakeholderneeds.
Course(s)ofaction:thecourseofactionforthechangeincludesan
assessmentofthecomponentsofthechangerequest(cost,time,
benefits,risksandpriority).Itiscommontoidentifyseveralalternative
courses,includingthoserecommendedbytherequesterandbyother
stakeholderssodecisionmakerscanmakeachoicethatwillbestserve
theneedsoftheinitiative.
Determinehowchangeswillbeprioritized:thepriorityoftheproposed
changeisestablishedrelativetoothercompetinginterestswithinthe
currentinitiative.
Determinehowchangeswillbedocumented:configuration
managementandtraceabilitystandardsestablishproductbaselinesand
versioncontrolpracticesthatidentifywhichbaselineisaffectedbythe
change.
Determinehowchangeswillbecommunicated:howproposed
changes,changesunderreview,andapproved,declined,ordeferred
changeswillbecommunicatedtostakeholders.
Determinewhowillperformtheimpactanalysis:specifywhois
responsibleforperformingananalysisoftheimpactstheproposedchange
willhaveacrosstheinitiative.
39
Costandtimeestimates:foreachareaaffectedbytheproposed
change,theexpectedcostofchangeisestimated.
Determinewhowillauthorizechanges:includeadesignationofwho
canapprovechangesandwhatbusinessanalysisinformationtheirauthority
covers.
.3 PlanPrioritizationApproach
Formore
information,see
Prioritize
Requirements
(p.86).
Timelines,expectedvalue,dependencies,resourceconstraints,adopted
methodologies,andotherfactorsinfluencehowrequirementsanddesignsare
prioritized.
Whenplanningtheprioritizationprocess,businessanalystsdeterminethe:
formalityandrigouroftheprioritizationprocess,
participantswhowillbeinvolvedinprioritization,
processfordecidinghowprioritizationwilloccur,includingwhich
prioritizationtechniqueswillbeutilized,and
criteriatobeusedforprioritization.Forexample,requirementsmaybe
prioritizedbasedoncost,risk,andvalue.
Theapproachshouldalsodeterminewhichstakeholderswillhavearolein
prioritization.
.4 PlanforApprovals
Anapprovalformalizestheagreementbetweenallstakeholdersthatthecontent
andpresentationoftherequirementsanddesignsareaccurate,adequate,and
containsufficientdetailtoallowforcontinuedprogresstobemade.
Thetimingandfrequencyofapprovalsaredependentonthesizeandcomplexity
ofthechangeandassociatedrisksofforegoingordelayinganapproval.
Thebusinessanalystmustdeterminethetypeofrequirementsanddesignstobe
approved,thetimingfortheapprovals,theprocesstofollowtogainapproval,
andwhowillapprovetherequirementsanddesigns.
Whenplanningtheappropriateapprovalprocess,businessanalystsconsiderthe
organizationalcultureandthetypeofinformationbeingapproved.Forexample,
newsystemsorprocessesforhighlyregulatedindustriessuchasfinancial,
pharmaceutical,orhealthcarearelikelytorequirefrequentandrigorousreview
andapprovalofverydetailedspecifications.Forothertypesofinitiatives,aless
intensiveapprovalprocessmaybemoreappropriateandresultinafaster
implementation.
Planningforapprovalsalsoincludesthescheduleofeventswhereapprovalswill
occurandhowtheywillbetracked.Stakeholderavailability,attitude,and
willingnesstoengagedeterminetheefficiencyoftheapprovalprocessandmay
significantlyaffectdeliverytimelines.
3.3.5
GuidelinesandTools
approaches.
40
maybedescribedbyregulations,contracts,agreements,warranties,
certificationsorotherlegalobligations.
tobecompleted.Thisinformationcanhelpdrivehowtomakebetterdecisions.
Legal/RegulatoryInformation:describeslegislativerulesorregulationsthat
mustbefollowed,andcanbeusedtohelpdevelopaframeworkthatensures
soundbusinessdecisionmaking.
3.3.6
Techniques
Brainstorming:usedtogenerateaninitiallistofpotentialstakeholdernames
whomayneedapprovalrolesinthedefinedgovernanceprocess.
Interviews:usedtoidentifypossibledecisionmaking,changecontrol,
approval,orprioritizationapproachesandparticipantswithanindividualor
smallgroup.
ItemTracking:usedtotrackanyissuesthatarisewhenplanningagovernance
approach.
LessonsLearned:usedtofindifpastinitiativeshaveidentifiedvaluable
experienceswithgovernancethatcanbeleveragedoncurrentorfuture
initiatives.
OrganizationalModelling:usedtounderstandroles/responsibilitieswithin
theorganizationinanefforttodefineagovernanceapproachthatinvolvesthe
rightstakeholders.
ProcessModelling:usedtodocumenttheprocessormethodforgoverning
businessanalysis.
Reviews:usedtoreviewtheproposedgovernanceplanwithkeystakeholders.
SurveyorQuestionnaire:usedtoidentifypossibledecisionmaking,change
control,approval,orprioritizationapproachesandparticipants.
Workshops:usedtoidentifypossibledecisionmaking,changecontrol,
approval,orprioritizationapproachesandparticipantswithinateamsetting.
3.3.7
Stakeholders
DomainSubjectMatterExpert:maybeapossiblesourceofarequested
changeormaybeidentifiedasneedingtobeinvolvedinchangediscussions.
ProjectManager:workswiththebusinessanalysttoensurethatoverall
projectgovernancealignswiththebusinessanalysisgovernanceapproach.
Regulator:mayimposerulesorregulationsthatneedtobeconsideredwhen
determiningthebusinessanalysisgovernanceplan.Mayalsobeapossible
sourceofarequestedchange.
41
DocumentAnalysis:usedtoevaluateexistinggovernanceprocessesor
templates.
PlanBusinessAnalysisInformationManagement
Sponsor:canimposetheirownrequirementsforhowbusinessanalysis
informationshouldbemanaged.Participatesinchangediscussionsand
approvesproposedchanges.
3.3.8
Outputs
GovernanceApproach:identifiesthestakeholderswhowillhavethe
responsibilityandauthoritytomakedecisionsaboutbusinessanalysiswork
includingwhowillberesponsibleforsettingprioritiesandwhowillapprove
changestobusinessanalysisinformation.Italsodefinestheprocessthatwillbe
utilizedtomanagerequirementanddesignchangesacrosstheinitiative.
3.4
3.4.1
Purpose
ThepurposeofPlanBusinessAnalysisInformationManagementistodevelopan
approachforhowbusinessanalysisinformationwillbestoredandaccessed.
3.4.2
Description
Businessanalysisinformationiscomprisedofalltheinformationbusinessanalysts
elicit,create,compile,anddisseminateinthecourseofperformingbusiness
analysis.Models,scopestatements,stakeholderconcerns,elicitationresults,
requirements,designs,andsolutionoptionsarejustafewexamples.Thisincludes
requirementsanddesigns,fromlightweightuserstoriestoformalrequirement
documentstofunctioningprototypes.
Informationmanagemententailsidentifying:
howinformationshouldbeorganized,
thelevelofdetailatwhichinformationshouldbecaptured,
anyrelationshipsbetweentheinformation,
howinformationmaybeusedacrossmultipleinitiativesandthroughoutthe
enterprise,
howinformationshouldbeaccessedandstored,and
characteristicsabouttheinformationthatmustbemaintained.
Informationmanagementhelpsensurethatbusinessanalysisinformationis
organizedinafunctionalandusefulmanner,iseasilyaccessibletoappropriate
personnel,andisstoredforthenecessarylengthoftime.
3.4.3
Inputs
approachintotheinformationmanagementapproachisnecessarytoensure
consistencyacrosstheapproaches.
42
GovernanceApproach:defineshowbusinessanalystsmanagechangesto
requirementsanddesigns,howdecisionsandapprovalsforbusinessanalysis
deliverableswillbemade,andhowprioritieswillbeset.
StakeholderEngagementApproach:identifyingstakeholdersand
understandingtheircommunicationandcollaborationneedsisusefulin
determiningtheirspecificinformationmanagementneeds.
Figure3.4.1:Plan BusinessAnalysisInformationManagementInput/Output
Diagram
Input
GuidelinesandTools
BusinessPolicies
3.2
Stakeholder
Engagement
Approach
3.3
Governance
Approach
InformationManagement
Tools
Output
Legal/Regulatory
Information
3.4
Information
Management
Approach
4.4
Communicate
BusinessAnalysis
Information
5.1
Trace
Requirements
5.2
Maintain
Requirements
7.4
Define
Requirements
Architecture
3.4.4
Elements
.1 OrganizationofBusinessAnalysisInformation
Businessanalystsareresponsiblefororganizingbusinessanalysisinformationina
mannerthatallowsforefficientaccessanduse.Informationmustbewell
structuredtoensureitisnotdifficulttolocate,conflictswithotherinformation,or
isneedlesslyduplicated.
43
BusinessAnalysis
3.1
BusinessAnalysis
Approach
Thebusinessanalystdetermineshowbesttostructureandorganizethebusiness
analysisinformationatthestartofaninitiative.Thisinvolvestakinginto
considerationthetypeandamountofinformationtobecollected,the
stakeholder'saccessandusageneeds,andthesizeandcomplexityofthechange.
Relationshipsamongthetypesofinformationmustbedefinedtoassistin
managingtheeffectofneworchangedinformationinthefuture.
.2 LevelofAbstraction
Levelofabstractiondescribesthebreadthanddepthoftheinformationbeing
provided.Representationsofinformationmayrangefromhighlyconceptualor
summarizedtoverydetailed.Indetermininghowmuchdetaileachstakeholder
mayrequireastheinitiativeevolves,considerationisgiventotheneedsofthe
stakeholders,thecomplexityofwhatisbeingexplained,andtheimportanceof
thechange.Ratherthanpresentthesameinformationtoallstakeholders,
businessanalystsshouldpresentinformationwithappropriatebreadthandlevel
ofdetailbasedoneachstakeholder'srole.Businessanalysisinformation
regardingatopicofsignificantimportanceorhighlevelofriskisfrequently
representedingreaterdetail.
.3 PlanTraceabilityApproach
Thetraceabilityapproachisbasedon:
Formore
information,see
Trace
Requirements
(p.79).
thecomplexityofthedomain,
thenumberofviewsofrequirementsthatwillbeproduced,
anyrequirementrelatedrisks,organizationalstandards,applicable
regulatoryrequirements,and
anunderstandingofthecostsandbenefitsinvolvedwithtracing.
Businessanalystsplantoensuretheapproachisatalevelofdetailtoaddvalue
withoutexcessiveoverhead.
.4 PlanforRequirementsReuse
Reusingrequirementscansaveanorganizationtime,effort,andcostprovided
therequirementsareaccessibleandstructuredinamannerthatsupportstheir
reuse.
Requirementsthatarepotentialcandidatesforlongtermusearethosean
organizationmustmeetonanongoingbasissuchas:
regulatoryrequirements,
contractualobligations,
qualitystandards,
servicelevelagreements,
businessrules,
businessprocesses,or
requirementsdescribingproductstheenterpriseproduces.
44
Requirementsmayalsobereusedwhendescribingcommonfeaturesorservices
thatareusedacrossmultiplesystems,processes,orprograms.
Tomakerequirementsusefulbeyondthecurrentchange,businessanalystsplan
aheadforrequirementsreusebyidentifyinghowbesttostructure,store,and
accessrequirementssotheyareusableandaccessibleforfuturebusinessanalysis
efforts.
Inorderforrequirementstobereusedtheymustbeclearlynamed,defined,and
storedinarepositorythatisavailabletootherbusinessanalysts.
.5 StorageandAccess
Therepositorymayneedtostoreinformationotherthanrequirementsand
designs.Itshouldbeabletoindicatethestatusofanystoredinformation,and
allowformodificationofthatinformationovertime.
.6 RequirementsAttributes
Requirementsattributesprovideinformationaboutrequirements,andaidinthe
ongoingmanagementoftherequirementsthroughoutthechange.Theyare
plannedforanddeterminedwiththerequirementsthemselves.
Requirementsattributesallowbusinessanalyststoassociateinformationwith
individualorrelatedgroupsofrequirements.Theinformationdocumentedbythe
attributeshelpstheteamefficientlyandeffectivelymaketradeoffsbetween
requirements,identifystakeholdersaffectedbypotentialchanges,and
understandtheeffectofaproposedchange.
Somecommonlyusedrequirementsattributesinclude:
Absolutereference:providesauniqueidentifier.Thereferenceisnot
alteredorreusediftherequirementismoved,changed,ordeleted.
Author:providesthenameofthepersonwhoneedstobeconsulted
shouldtherequirementlaterbefoundtobeambiguous,unclear,orin
conflict.
Complexity:indicateshowdifficulttherequirementwillbetoimplement.
Ownership:indicatestheindividualorgroupthatneedstherequirement
orwillbethebusinessownerafterthesolutionisimplemented.
Priority:indicatesrelativeimportanceofrequirements.Prioritycanreferto
therelativevalueofarequirementortothesequenceinwhichitwillbe
implemented.
45
Businessanalysisinformationcanbestoredinmanyways.Storagedecisions
dependonmanyfactorssuchaswhomustaccesstheinformation,howoften
theyneedtoaccessit,andwhatconditionsmustbepresentforaccess.
Organizationalstandardsandtoolavailabilityalsoinfluencestorageandaccess
decisions.Thebusinessanalysisapproachdefineshowvarioustoolswillbeused
ontheinitiativeandhowtheinformationwillbecapturedandstoredwithin
thosetools.Toolsmayshapetheselectionofbusinessanalysistechniques,
notationstobeused,andthewaythatinformationisorganized.
Risks:identifiesuncertaineventsthatmayimpactrequirements.
Source:identifiestheoriginoftherequirement.Thesourceisoften
consultediftherequirementchangesorifmoreinformationregardingthe
requirementortheneedthatdrovetherequirementhastobeobtained.
Stability:indicatesthematurityoftherequirement.
Status:indicatesthestateoftherequirement,whetheritisproposed,
accepted,verified,postponed,cancelled,orimplemented.
Urgency:indicateshowsoontherequirementisneeded.Itisusuallyonly
necessarytospecifythisseparatelyfromtheprioritywhenadeadlineexists
forimplementation.
3.4.5
GuidelinesandTools
approaches.
maybedescribedbyregulations,contracts,agreements,warranties,
certifications,orotherlegalobligations.
InformationManagementTools:eachorganizationusessometoolstostore,
retrieve,andsharebusinessanalysisinformation.Thesemaybeassimpleasa
whiteboard,orascomplexasaglobalwikiorrobustrequirementsmanagement
tool.
mustbefollowed,andhelpsdeterminehowbusinessanalysisinformationwill
bemanaged.
3.4.6
Techniques
Brainstorming:usedtohelpstakeholdersuncovertheirbusinessanalysis
informationmanagementneeds.
Interviews:usedtohelpspecificstakeholdersuncovertheirbusinessanalysis
informationmanagementneeds.
ItemTracking:usedtotrackissueswithcurrentinformationmanagement
processes.
LessonsLearned:usedtocreateasourceofinformationforanalyzing
approachesforefficientlymanagingbusinessanalysisinformation.
MindMapping:usedtoidentifyandcategorizethekindsofinformationthat
needtobemanaged.
ProcessModelling:usedtodocumenttheprocessormethodformanaging
businessanalysisinformation.
46
IdentifyBusinessAnalysisPerformanceImprovements
SurveyorQuestionnaire:usedtoaskstakeholderstoprovideinputinto
definingbusinessanalysisinformationmanagement.
Workshops:usedtouncoverbusinessanalysisinformationmanagementneeds
inagroupsetting.
3.4.7
Stakeholders
DomainSubjectMatterExpert:mayneedtoaccessandworkwithbusiness
analysisinformation,andwillbeinterestedinamorespecificviewofbusiness
analysisinformationwhichrelatestotheirareaofexpertise.
Regulator:maydefinerulesandprocessesrelatedtoinformation
management.
Sponsor:reviews,commentson,andapprovesbusinessanalysisinformation.
Outputs
InformationManagementApproach:includesthedefinedapproachfor
howbusinessanalysisinformationwillbestored,accessed,andutilizedduring
thechangeandafterthechangeiscomplete.
3.5
3.5.1
IdentifyBusinessAnalysisPerformance
Improvements
Purpose
ThepurposeofIdentifyBusinessAnalysisPerformanceImprovementsistoassess
businessanalysisworkandtoplantoimproveprocesseswhererequired.
3.5.2
Description
Tomonitorandimproveperformance,itisnecessarytoestablishtheperformance
measures,conducttheperformanceanalysis,reportontheresultsoftheanalysis,
andidentifyanynecessarypreventive,corrective,ordevelopmentalactions.
Performanceanalysisshouldoccurthroughoutaninitiative.Oncepotential
performanceimprovementsareidentified,theybecomeguidelinesforthenext
timeataskisexecuted.
3.5.3
Inputs
BusinessAnalysisApproach:identifiesbusinessanalysisdeliverablesthatwill
beproduced,activitiesthatwillneedtobeperformed(includingwhentheywill
beperformedandwhowillbeperformingthem),andtechniquesthatwillbe
used.
PerformanceObjectives(external):describethedesiredperformance
outcomesthatanenterpriseororganizationishopingtoachieve.
47
3.4.8
Figure3.5.1:IdentifyBusinessAnalysisPerformanceImprovementsInput/Output
Diagram
Input
Performance
Objectives
(external)
3.1
BusinessAnalysis
Approach
GuidelinesandTools
3.5IdentifyBusinessAnalysis
PerformanceImprovements
OrganizationalPerformance
Standards
Output
3.5
BusinessAnalysis
Performance
Assessment
3.1
Plan Business
AnalysisApproach
3.2
PlanStakeholder
Engagement
3.4
PlanBusiness
Analysis
Information
Management
3.5.4
3.3
PlanBusiness
Analysis
Governance
4.5
Manage
Stakeholder
Collaboration
Elements
.1 PerformanceAnalysis
Whatconstituteseffectivebusinessanalysisworkdependsonthecontextofa
particularorganizationorinitiative.Reportsonbusinessanalysisperformancecan
beinformalandverbal,ortheymayincludeformaldocumentation.Reportson
businessanalysisperformancearedesignedandtailoredtomeettheneedsofthe
varioustypesofreviewers.
.2 AssessmentMeasures
Ifcurrentmeasuresexist,thebusinessanalystmayleveragethemordetermine
newmeasures.Thebusinessanalystmayalsoelicitassessmentmeasuresfrom
stakeholders.
Performancemeasuresmaybebasedondeliverableduedatesasspecifiedinthe
48
businessanalysisplan,metricssuchasthefrequencyofthechangestobusiness
analysisworkproducts,thenumberofreviewcyclesrequired,taskefficiency,or
qualitativefeedbackfromstakeholdersandpeersregardingthebusinessanalysts
deliverables.Appropriateperformancemeasuresenablethebusinessanalystto
determinewhenproblemsareoccurringthatmayaffecttheperformanceof
businessanalysisoridentifyopportunitiesforimprovement.Measuresmaybe
bothquantitativeandqualitative.Qualitativemeasuresaresubjectiveandcanbe
heavilyinfluencedbythestakeholdersattitudes,perceptions,andother
subjectivecriteria.
Somepossiblemeasuresare:
AccuracyandCompleteness:determinewhetherthebusinessanalyst
workproductswerecorrectandrelevantwhendelivered,orwhether
ongoingrevisionswereneededtogainacceptancebystakeholders.
Knowledge:assesswhetherthebusinessanalysthadtheskillsand/or
experiencetoperformtheassignedtask.
Effectiveness:assesswhetherthebusinessanalystworkproductswere
easytouseasstandalonedeliverablesorwhethertheyrequiredextensive
explanationinordertobeunderstood.
OrganizationalSupport:assesswhethertherewereadequateresources
availabletocompletebusinessanalysisactivitiesasneeded.
Significance:considerthebenefitobtainedfromtheworkproductsand
assesswhetherthecost,time,andresourceinvestmentsexpendedto
producetheworkproductswerejustifiedforthevaluetheydelivered.
Strategic:lookatwhetherbusinessobjectivesweremet,problemswere
solved,andimprovementswereachieved.
Timeliness:evaluatewhetherthebusinessanalystdeliveredtheworkon
timeperstakeholderexpectationsandschedule.
.3 AnalyzeResults
Thebusinessanalysisprocessanddeliverablesarecomparedagainstthesetof
definedmeasures.Theanalysismaybeperformedonthebusinessanalysis
process,theresourcesinvolved,andthedeliverables.
Performancemaybedeterminedfromthepointofviewofthestakeholderswho
aretherecipientsofthebusinessanalysiswork.Othertimesapersonnelmanager
oraCentreofExcellencemaymakethisdeterminationandprovideassessments.
Allstakeholdersmayhaveinputinassessingthevalueofthebusinessanalysis
workbutorganizationsmaydifferintermsofwhohastheauthoritytosetthe
targetsagainstwhichperformanceismeasured.
.4 RecommendActionsforImprovement
Oncetheanalysisofperformanceresultsiscomplete,thebusinessanalyst
engagestheappropriatestakeholderstoidentifythefollowingactions:
Preventive:reducestheprobabilityofaneventwithanegativeimpact.
49
Allperformance
metricswill
encouragecertain
behavioursand
discourageothers.
Poorlychosen
metricsmaydrive
behaviourthatis
detrimentaltothe
enterpriseasa
whole.
Corrective:establisheswaystoreducethenegativeimpactofanevent.
Improvement:establisheswaystoincreasetheprobabilityorimpactof
eventswithapositiveimpact.
Theseactionsarelikelytoresultinchangestothebusinessanalysisapproach,
repeatableprocesses,andtools.
3.5.5
GuidelinesandTools
OrganizationalPerformanceStandards:mayincludeperformancemetrics
orexpectationsforbusinessanalysisworkmandatedbytheorganization.
3.5.6
Techniques
Brainstorming:usedtogenerateideasforimprovementopportunities.
Interviews:usedtogatherassessmentsofbusinessanalysisperformance.
ItemTracking:usedtotrackissuesthatoccurduringtheperformanceof
businessanalysisforlaterresolution.
LessonsLearned:usedtoidentifyrecommendedchangestobusinessanalysis
processes,deliverables,templates,andotherorganizationalprocessassetsthat
canbeincorporatedintothecurrentinitiativeandfuturework.
MetricsandKeyPerformanceIndicators(KPIs):usedtodeterminewhat
metricsareappropriateforassessingbusinessanalysisperformanceandhow
theymaybetracked.
Observation:usedtowitnessbusinessanalysisperformance.
ProcessAnalysis:usedtoanalyzeexistingbusinessanalysisprocessesand
identifyopportunitiesforimprovement.
ProcessModelling:usedtodefinebusinessanalysisprocessesandunderstand
howtoimprovethoseprocessestoreduceproblemsfromhandoffs,improve
cycletimes,oralterhowbusinessanalysisworkisperformedtosupport
improvementsindownstreamprocesses.
Reviews:usedtoidentifychangestobusinessanalysisprocessesand
deliverablesthatcanbeincorporatedintofuturework.
RiskAnalysisandManagement:usedtoidentifyandmanagepotential
conditionsoreventsthatmayimpactbusinessanalysisperformance.
RootCauseAnalysis:usedtohelpidentifytheunderlyingcauseoffailuresor
difficultiesinaccomplishingbusinessanalysiswork.
SurveyorQuestionnaire:usedtogatherfeedbackfromstakeholdersabout
theirsatisfactionwithbusinessanalysisactivitiesanddeliverables.
Workshops:usedtogatherassessmentsofbusinessanalysisperformanceand
generateideasforimprovementopportunities.
50
3.5.7
Stakeholders
DomainSubjectMatterExperts:shouldbeinformedaboutthebusiness
analysisactivitiesinordertosetexpectationsregardingtheirinvolvementinthe
workandtoelicittheirfeedbackregardingpossibleimprovementstothe
approach.
ProjectManager:isaccountableforthesuccessofaprojectandmustbekept
informedofthecurrentstatusofbusinessanalysiswork.Ifpotentialproblems
oropportunitiesforimprovementareidentified,theprojectmanagermustbe
consultedbeforechangesareimplementedtoassesswhetherthosechanges
willhaveanimpactontheproject.Theymayalsodeliverreportsonbusiness
analysisperformancetothesponsorandotherstakeholders.
3.5.8
Outputs
BusinessAnalysisPerformanceAssessment:includesacomparisonof
plannedversusactualperformance,identifyingtherootcauseofvariancesfrom
theexpectedperformance,proposedapproachestoaddressissues,andother
findingstohelpunderstandtheperformanceofbusinessanalysisprocesses.
51
Sponsor:mayrequirereportsonbusinessanalysisperformancetoaddress
problemsastheyareidentified.Amanagerofbusinessanalystsmayalso
sponsorinitiativestoimprovetheperformanceofbusinessanalysisactivities.
52
TheElicitationandCollaborationknowledgeareadescribesthetasksthat
businessanalystsperformtoobtaininformationfromstakeholdersandconfirm
theresults.Italsodescribesthecommunicationwithstakeholdersoncethe
businessanalysisinformationisassembled.
Elicitationisthedrawingforthorreceivingofinformationfromstakeholdersor
othersources.Itisthemainpathtodiscoveringrequirementsanddesign
information,andmightinvolvetalkingwithstakeholdersdirectly,researching
topics,experimenting,orsimplybeinghandedinformation.Collaborationisthe
actoftwoormorepeopleworkingtogethertowardsacommongoal.The
ElicitationandCollaborationknowledgeareadescribeshowbusinessanalysts
identifyandreachagreementonthemutualunderstandingofalltypesof
businessanalysisinformation.Elicitationandcollaborationworkisnevera'phase'
inbusinessanalysisrather,itisongoingaslongasbusinessanalysisworkis
occurring.
Elicitationandcollaborationcanbeplanned,unplanned,orboth.Planned
activitiessuchasworkshops,experiments,and/orsurveyscanbestructuredand
organizedinadvance.Unplannedactivitieshappeninthemomentwithout
notice,suchaslastminuteor'justintime'collaborationorconversations.
Businessanalysisinformationderivedfromanunplannedactivitymayrequire
deeperexplorationthroughaplannedactivity.
Elicitingbusinessanalysisinformationisnotanisolatedactivity.Informationis
elicitedwhileperforminganytaskthatincludesinteractionwithstakeholdersand
whilethebusinessanalystisperformingindependentanalyticalwork.Elicitation
maytriggeradditionalelicitationfordetailstofillingapsorincrease
understanding.
53
ElicitationandCollaboration
TheElicitationandCollaborationknowledgeareaiscomposedofthefollowing
tasks:
PrepareforElicitation:involvesensuringthatthestakeholdershavethe
informationtheyneedtoprovideandthattheyunderstandthenatureof
theactivitiestheyaregoingtoperform.Italsosetsasharedsetof
expectationsregardingtheoutcomesoftheactivity.Preparationmayalso
involveidentifyingresearchsourcesorpreparingtoconductanexperiment
toseeifaprocesschangeactuallyresultsinanimprovement.
ConductElicitation:describestheworkperformedtounderstand
stakeholderneedsandidentifypotentialsolutionsthatmaymeetthose
needs.Thismayinvolvedirectinteractionwithstakeholders,doingresearch,
orrunningexperiments.
ConfirmElicitationResults:involvesensuringthatstakeholdershavea
sharedunderstandingoftheoutcomesofelicitation,thatelicited
informationisrecordedappropriately,andthatthebusinessanalysthasthe
informationsoughtfromanelicitationactivity.Thistaskalsoinvolves
comparingtheinformationreceivedwithotherinformationtolookfor
inconsistenciesorgaps.
CommunicateBusinessAnalysisInformation:providesstakeholders
withtheinformationtheyneed,atthetimetheyneedit.Theinformationis
presentedinausefulform,usingtherightterminologyandconcepts.
ManageStakeholderCollaboration:describesworkingwith
stakeholderstoengagethemintheoverallbusinessanalysisprocessandto
ensurethatthebusinessanalystcandelivertheoutcomesneeded.
TheCoreConceptModelinElicitationand
Collaboration
relationshipsamongthesixcoreconcepts.
Thefollowingtabledescribestheusageandapplicationofeachofthecore
conceptswithinthecontextofElicitationandCollaboration.
54
Table4.0.1:TheCoreConceptModelinElicitationandCollaboration
DuringElicitationandCollaboration,
businessanalysts...
Change:theactoftransformation
inresponsetoaneed.
useavarietyofelicitationtechniquesto
fullyidentifythecharacteristicsofthe
changeincludingconcernsthat
stakeholdershaveaboutthechange.The
changeitselfmaydeterminethe
appropriatetypesandextentofelicitation
andcollaboration.
Need:aproblemoropportunityto
beaddressed.
elicit,confirm,andcommunicateneeds
andsupportingbusinessanalysis
information.Aselicitationisiterativeand
incremental,theunderstandingofneeds
mayevolveovertime.
context.
elicit,confirm,andcommunicate
necessaryordesiredcharacteristicsof
proposedsolutions.
solution.
managethecollaborationwiththe
stakeholderswhoparticipateinthe
businessanalysiswork.Allstakeholders
mayparticipateindifferentrolesandat
differenttimesduringachange.
collaboratewithstakeholderstoassess
therelativevalueofinformationprovided
throughelicitation,andapplyavarietyof
techniquestoconfirmandcommunicate
thatvalue.
change.
applyavarietyofelicitationtechniquesto
identifybusinessanalysisinformation
aboutthecontextthatmayaffectthe
change.
55
CoreConcept
PrepareforElicitation
Figure4.0.1:ElicitationandCollaborationInput/OutputDiagram
Input
BusinessAnalysis
Information
Needs
3.2
Stakeholder
Engagement
Approach
3.5
BusinessAnalysis
Performance
Assessment
Tasks
4.1
Preparefor
Elicitation
4.2
ConductElicitation
4.4
Communicate
BusinessAnalysis
Information
4.3
ConfirmElicitation
Results
4.5
Manage
Stakeholder
Collaboration
Output
4.1
ElicitationActivity
Plan
4.2
ElicitationResults
(unconfirmed)
4.4
BusinessAnalysis
Information
(communicated)
4.1
4.1.1
4.3
ElicitationResults
(confirmed)
4.5
Stakeholder
Engagement
Purpose
ThepurposeofPrepareforElicitationistounderstandthescopeoftheelicitation
activity,selectappropriatetechniques,andplanfor(orprocure)appropriate
supportingmaterialsandresources.
56
4.1.2
Description
Businessanalystsprepareforelicitationbydefiningthedesiredoutcomesofthe
activity,consideringthestakeholdersinvolvedandthegoalsoftheinitiative.This
includesdeterminingwhichworkproductswillbeproducedusingtheelicitation
results,decidingwhichtechniquesarebestsuitedtoproducethoseresults,
establishingtheelicitationlogistics,identifyinganysupportingmaterialsneeded,
andunderstandingcircumstancestofostercollaborationduringanelicitation
activity.
4.1.3
Inputs
StakeholderEngagementApproach:understandingstakeholders'
communicationandcollaborationneedshelpsplanandprepareappropriate
andeffectiveelicitationevents.
Figure4.1.1:PrepareforElicitationInput/OutputDiagram
Input
GuidelinesandTools
3.2
Stakeholder
Engagement
Approach
Needs
BusinessAnalysisApproach
BusinessObjectives
4.1PrepareforElicitation
ExistingBusinessAnalysis
Information
Output
PotentialValue
4.1
Elicitation
ActivityPlan
4.2
ConductElicitation
57
4.3
ConfirmElicitation
Results
Needs:guidesthepreparationintermsofthescopeandpurposeofelicitation
activities.Elicitationcanbeusedtodiscovertheneeds,butinordertoget
startedtheremustbesomeneedthatexistsevenifithasnotyetbeenfully
elicitedorunderstood.
4.1.4
Elements
.1 UnderstandtheScopeofElicitation
Todeterminethetypeofbusinessanalysisinformationtobediscoveredduring
theelicitationactivityandthetechniquesthatmaybeused,businessanalysts
consider:
businessdomain,
overallcorporatecultureandenvironment,
stakeholderlocations,
stakeholderswhoareinvolvedandtheirgroupdynamics,
expectedoutputstheelicitationactivitieswillfeed,
skillsofthebusinessanalysispractitioner,
otherelicitationactivitiesplannedtocomplementthisone,
strategyorsolutionapproach,
scopeoffuturesolution,and
possiblesourcesofthebusinessanalysisinformationthatmightfeedinto
thespecificelicitationactivity.
Understandingthescopeoftheelicitationactivityallowsbusinessanalyststo
respondiftheactivitystraysfromtheintendedscope.Italsoallowsthemto
recognizeifpeopleandmaterialsarenotavailableintime,andwhentheactivity
iscomplete.
.2 SelectElicitationTechniques
Inmostcases,multipletechniquesareusedduringanelicitationactivity.The
techniquesuseddependoncostandtimeconstraints,thetypesofbusiness
analysisinformationsourcesandtheiraccess,thecultureoftheorganization,and
thedesiredoutcomes.Thebusinessanalystmayalsofactorintheneedsofthe
stakeholders,theiravailability,andtheirlocation(colocatedordispersed).
Choosingtherighttechniquesandensuringeachtechniqueisperformed
correctlyisextremelyimportanttothesuccessoftheelicitationactivity.When
selectingelicitationtechniques,businessanalystsconsider:
techniquescommonlyusedinsimilarinitiatives,
techniquesspecificallysuitedtothesituation,and
thetasksneededtoprepare,execute,andcompleteeachtechnique.
Duetochangingdynamicsandsituations,thebusinessanalystmayberequiredto
adjusttheinitialselectionsbyincorporatingmoreappropriatetechniques.A
thoroughunderstandingofthevarietyoftechniquesavailableassiststhebusiness
analystinadaptingtochangingcircumstances.
58
.3 SetUpLogistics
Logisticsareplannedpriortoanelicitationactivity.Thelogisticsforeach
elicitationactivityincludeidentifying:
theactivity'sgoals,
participantsandtheirroles,
scheduledresources,includingpeople,rooms,andtools,
locations,
communicationchannels,
techniques,and
Thelogisticsmayalsoinvolvecreatinganagendaifotherstakeholdersare
involved.
.4 SecureSupportingMaterial
Businessanalystsidentifysourcesofinformationthatareneededtoconductthe
elicitationactivity.Theremightbeagreatdealofinformationneededtoconduct
elicitationincludingpeople,systems,historicaldata,materialsanddocuments.
Documentscouldincludeexistingsystemdocuments,relevantbusinessrules,
organizationalpolices,regulations,andcontracts.Supportingmaterialsmight
alsotaketheformofoutputsofanalysiswork,suchasdraftversionsofanalysis
models(seeSpecifyandModelRequirements(p.136)).Businessanalystsprocure
ordevelopthematerialsandtoolsneeded.Additionalplanningforexperimental
elicitationmightberequiredifnoveltools,equipment,ortechniquesaregoingto
beused.
.5 PrepareStakeholders
Businessanalystsmayneedtoeducatestakeholdersonhowanelicitation
techniqueworksorwhatinformationisneeded.Itmaybehelpfultoexplainan
elicitationtechniquetostakeholdersnotinvolvedintheactivitytohelpthem
understandthevalidityandrelevanceoftheinformationelicited.Stakeholders
maybeunresponsiveorchallengingduringanelicitationactivityiftheyfeelthatit
isnotalignedtotheirindividualobjectives,don'tunderstandthepurpose,orare
confusedabouttheprocess.Inpreparingforelicitation,thebusinessanalyst
shouldensurethatthereisbuyinfromallnecessarystakeholders.
Businessanalystsmayalsopreparestakeholdersbyrequestingthattheyreview
supportingmaterialspriortotheelicitationactivityinordertomakeitaseffective
aspossible.Anagendamightbeprovidedinadvancetosupportstakeholdersin
comingpreparedtotheactivitywiththenecessaryframeofmindand
information.
Elicitingthroughresearchorexplorationmaybeasoloactivityforthebusiness
analystandnotrequirepreparingotherstakeholders.
59
languagesusedbystakeholders(oralandwritten).
4.1.5
GuidelinesandTools
BusinessAnalysisApproach:setsthegeneralstrategytobeusedtoguide
thebusinessanalysiswork.Thisincludesthegeneralmethodology,typesof
stakeholdersandhowtheyshouldbeinvolved,listofstakeholders,timingof
thework,expectedformatandlevelofdetailofelicitationresults,and
identifiedchallengesanduncertainties.
BusinessObjectives:describethedesireddirectionneededtoachievethe
futurestate.Theycanbeusedtoplanandprepareelicitationevents,andto
developsupportingmaterials.
ExistingBusinessAnalysisInformation:mayprovideabetterunderstanding
ofthegoalsoftheelicitationactivity,andaidinpreparingforelicitation.
PotentialValue:describesthevaluetoberealizedbyimplementingthe
proposedfuturestate,andcanbeusedtoshapeelicitationevents.
4.1.6
Techniques
Brainstorming:usedtocollaborativelyidentifyandreachconsensusabout
whichsourcesofbusinessanalysisinformationshouldbeconsultedandwhich
elicitationtechniquesmightbemosteffective.
DataMining:usedtoidentifyinformationorpatternsthatrequirefurther
investigation.
DocumentAnalysis:usedtoidentifyandassesscandidatesourcesof
supportingmaterials.
Estimation:usedtoestimatethetimeandeffortrequiredfortheelicitation
andtheassociatedcost.
Interviews:usedtoidentifyconcernsabouttheplannedelicitation,andcanbe
usedtoseekauthoritytoproceedwithspecificoptions.
MindMapping:usedtocollaborativelyidentifyandreachconsensusabout
whichsourcesofbusinessanalysisinformationshouldbeconsultedandwhich
elicitationtechniquesmightbemosteffective.
RiskAnalysisandManagement:usedtoidentify,assess,andmanage
conditionsorsituationsthatcoulddisrupttheelicitation,oraffectthequality
andvalidityoftheelicitationresults.Theplansfortheelicitationshouldbe
adjustedtoavoid,transfer,ormitigatethemostseriousrisks.
StakeholderList,Map,orPersonas:usedtodeterminewhoshouldbe
consultedwhilepreparingfortheelicitation,whoshouldparticipateinthe
event,andtheappropriaterolesforeachstakeholder.
4.1.7
Stakeholders
DomainSubjectMatterExpert:providessupportingmaterialsaswellas
guidanceaboutwhichothersourcesofbusinessanalysisinformationtoconsult.
Mayalsohelptoarrangeresearch,experiments,andfacilitatedelicitation.
60
ConductElicitation
ProjectManager:ensuresthattheappropriatepeopleandresourcesare
availabletoconducttheelicitation.
Sponsor:hastheauthoritytoapproveordenyaplannedelicitationevent,and
toauthorizeandrequiretheparticipationofspecificstakeholders.
4.1.8
Outputs
ElicitationActivityPlan:usedforeachelicitationactivity.Itincludeslogistics,
scopeoftheelicitationactivity,selectedtechniques,andsupportingmaterials.
4.2
Purpose
ThepurposeofConductElicitationistodrawout,explore,andidentify
informationrelevanttothechange.
4.2.2
Description
Therearethreecommontypesofelicitation:
Collaborative:involvesdirectinteractionwithstakeholders,andrelieson
theirexperiences,expertise,andjudgment.
Research:involvessystematicallydiscoveringandstudyinginformation
frommaterialsorsourcesthatarenotdirectlyknownbystakeholders
involvedinthechange.Stakeholdersmightstillparticipateintheresearch.
Researchcanincludedataanalysisofhistoricaldatatoidentifytrendsor
pastresults.
Experiments:involvesidentifyinginformationthatcouldnotbeknown
withoutsomesortofcontrolledtest.Someinformationcannotbedrawn
frompeopleordocumentsbecauseitisunknown.Experimentscanhelp
discoverthiskindofinformation.Experimentsincludeobservationalstudies,
proofsofconcept,andprototypes.
Oneormoreelicitationtechniquesmaybeusedtoproducethedesiredoutcome
withinthescopeofelicitation.
Stakeholdersmaycollaborateinelicitationby:
participatingandinteractingduringtheelicitationactivity,and
researching,studying,andprovidingfeedbackondocuments,systems,
models,andinterfaces.
4.2.3
Inputs
ElicitationActivityPlan:includestheplannedelicitationactivitiesand
techniques,activitylogistics(forexample,date,time,location,resources,
61
4.2.1
ConductElicitation
ConductElicitation
agenda),scopeoftheelicitationactivity,andavailablesourcesofbackground
information.
Figure4.2.1:ConductElicitationInput/OutputDiagram
Input
4.1
ElicitationActivity
Plan
GuidelinesandTools
Information
4.2
ConductElicitation
Approach
Output
SupportingMaterials
4.2
Elicitation
Results
(unconfirmed)
4.3
ConfirmElicitation
Results
4.2.4
Elements
.1 GuideElicitationActivity
Understandingtheproposedrepresentationsofbusinessanalysisinformation,
whichweredefinedinplanning,helpsensurethattheelicitationactivitiesare
focusedonproducingtheintendedinformationatthedesiredlevelofdetail.This
appliestoeachinstanceofanelicitationactivitythroughoutachangeandmay
varybasedontheactivity.Inordertohelpguideandfacilitatetowardsthe
expectedoutcomes,businessanalystsconsider:
theelicitationactivitygoalsandagenda,
scopeofthechange,
whatformsofoutputtheactivitywillgenerate,
whatotherrepresentationstheactivityresultswillsupport,
howtheoutputintegratesintowhatisalreadyknown,
whoprovidestheinformation,
62
ConductElicitation
whowillusetheinformation,and
howtheinformationwillbeused.
Whilemostoftheseareconsideredwhenplanningfortheelicitationactivity(see
PrepareforElicitation(p.56)),theyarealsoallimportantwhileperformingthe
elicitationactivityinordertokeepitontrackandachieveitsgoal.Forexample,
stakeholdersmighthavediscussionsthatareoutofscopefortheactivityor
change,andthebusinessanalystneedstorecognizethatinthemomentto
determinethenextstepeitheracknowledgeitandcontinue,orguidethe
conversationdifferently.
Thebusinessanalystalsousesthisinformationtodeterminewhentherehasbeen
sufficientelicitation,inordertostoptheactivity.
Conductingelicitationisfrequentlyiterativeandtakesplaceinaseriesof
sessionsinparallelorinsequenceaccordingtothescopeoftheelicitation
activity(seePrepareforElicitation(p.56)).Iftheelicitationactivityisunplanned,
outcomesarecapturedandintegratedintotheappropriateplannedoutcomes.
Capturingtheelicitationoutcomeshelpstoensurethattheinformationproduced
duringelicitationactivitiesisrecordedforlaterreferenceanduse.
4.2.5
GuidelinesandTools
BusinessAnalysisApproach:influenceshoweachelicitationactivityis
performed,asitidentifiesthetypesofoutputsthatwillbeneededbasedonthe
approach.
ExistingBusinessAnalysisInformation:mayguidethequestionsposed
duringelicitationandtheapproachusedtodrawoutinformationfromvarious
stakeholders.
StakeholderEngagementApproach:providescollaborationand
communicationapproachesthatmightbeeffectiveduringelicitation.
SupportingMaterials:includesanymaterialstoprepareboththebusiness
analystandparticipantsbeforeelicitation,aswellasanyinformation,tools,or
equipmenttobeusedduringtheelicitation.
4.2.6
Techniques
BenchmarkingandMarketAnalysis:usedasasourceofbusinessanalysis
informationbycomparingaspecificprocess,system,product,service,or
structurewithsomeexternalbaseline,suchasasimilarorganizationorbaseline
providedbyanindustryassociation.Marketanalysisisusedtodeterminewhat
customerswantandwhatcompetitorsprovide.
Brainstorming:usedtogeneratemanyideasfromagroupofstakeholdersina
shortperiod,andtoorganizeandprioritizethoseideas.
63
.2 CaptureElicitationOutcomes
ConductElicitation
BusinessRulesAnalysis:usedtoidentifytherulesthatgoverndecisionsinan
organizationandthatdefine,constrain,orenableorganizationaloperations.
CollaborativeGames:usedtodevelopabetterunderstandingofaproblemor
tostimulatecreativesolutions.
ConceptModelling:usedtoidentifykeytermsandideasofimportanceand
definetherelationshipsbetweenthem.
DataMining:usedtoidentifyrelevantinformationandpatterns.
DataModelling:usedtounderstandentityrelationshipsduringelicitation.
DocumentAnalysis:usedtoreviewexistingsystems,contracts,business
proceduresandpolicies,standards,andregulations.
FocusGroups:usedtoidentifyandunderstandideasandattitudesfroma
group.
InterfaceAnalysis:usedtounderstandtheinteraction,andcharacteristicsof
thatinteraction,betweentwoentities,suchastwosystems,twoorganizations,
ortwopeopleorroles.
Interviews:usedtoaskquestionsofstakeholderstouncoverneeds,identify
problems,ordiscoveropportunities.
MindMapping:usedtogeneratemanyideasfromagroupofstakeholdersin
ashortperiod,andtoorganizeandprioritizethoseideas.
Observation:usedtogaininsightabouthowworkiscurrentlydone,possibly
indifferentlocationsandindifferentcircumstances.
ProcessAnalysis:usedtounderstandcurrentprocessesandtoidentify
opportunitiesforimprovementinthoseprocesses.
ProcessModelling:usedtoelicitprocesseswithstakeholdersduringelicitation
activities.
Prototyping:usedtoelicitandvalidatestakeholders'needsthroughan
iterativeprocessthatcreatesamodelofrequirementsordesigns.
SurveyorQuestionnaire:usedtoelicitbusinessanalysisinformation,
includinginformationaboutcustomers,products,workpractices,andattitudes,
fromagroupofpeopleinastructuredwayandinarelativelyshortperiodof
time.
Workshops:usedtoelicitbusinessanalysisinformation,includinginformation
aboutcustomers,products,workpractices,andattitudes,fromagroupof
peopleinacollaborative,facilitatedway.
4.2.7
Stakeholders
Customer:willprovidevaluablebusinessanalysisinformationduring
elicitation.
DomainSubjectMatterExpert:hasexpertiseinsomeaspectofthesituation
andcanprovidetherequiredbusinessanalysisinformation.Oftenguidesand
64
ConfirmElicitationResults
assiststhebusinessanalystinidentifyingappropriateresearchsources,andmay
helptoarrangeresearch,experiments,andfacilitatedelicitation.
EndUser:theuserofexistingandfuturesolutions,whoshouldparticipatein
elicitation.
ImplementationSubjectMatterExpert:designsandimplementsasolution
andprovidesspecialistexpertise,andcanparticipateinelicitationbyasking
clarifyingquestionsandofferingalternatives.
Sponsor:authorizesandensuresthatthestakeholdersnecessarytoparticipate
inelicitationareinvolved.
Anystakeholders:couldhaverelevantknowledgeorexperiencetoparticipate
inelicitationactivities.
Outputs
ElicitationResults(unconfirmed):capturedinformationinaformatthatis
specifictotheelicitationactivity.
4.3
4.3.1
Purpose
ThepurposeofConfirmElicitationResultsistochecktheinformationgathered
duringanelicitationsessionforaccuracyandconsistencywithotherinformation.
4.3.2
Description
Elicitedinformationisconfirmedtoidentifyanyproblemsandresolvethem
beforeresourcesarecommittedtousingtheinformation.Thisreviewmay
discovererrors,omissions,conflicts,andambiguity.
Theelicitationresultscanbecomparedagainsttheirsourceandotherelicitation
resultstoensureconsistency.Collaborationwithstakeholdersmightbenecessary
toensuretheirinputsarecorrectlycapturedandthattheyagreewiththeresults
ofnonfacilitatedelicitation.Ifinformationisnotcorrect,thebusinessanalyst
determineswhatiscorrect,whichcanrequiremoreelicitation.Committing
resourcestobusinessanalysisactivitiesbasedonunconfirmedelicitationresults
maymeanstakeholderexpectationsarenotmet.Iftheresultsareinconsistent,
additionalelicitationmightneedtobeconductedtoresolvethediscrepancies.
Confirmingtheelicitationresultsisamuchlessrigorousandformalreviewthan
occursduringanalysis.
4.3.3
Inputs
ElicitationResults(unconfirmed):captureinformationinaformatspecificto
theelicitationactivity.
65
4.2.8
Figure4.3.1:ConfirmElicitationResults
Input
4.2
ElicitationResults
(unconfirmed)
GuidelinesandTools
ElicitationActivityPlan
4.3
Information
Output
4.3
ElicitationResults
(confirmed)
6.1
AnalyzeCurrent
State
4.3.4
6.3
AssessRisks
Elements
.1 CompareElicitationResultsAgainstSourceInformation
TaskConductElicitation(p.61)describessourcesfromwhichelicitationresults
maybederived,includingdocumentsandstakeholderknowledge.Thebusiness
analystmayleadfollowupmeetingswherestakeholderscorrecttheelicitation
results.Stakeholdersmayalsoconfirmtheelicitationresultsindependently.
.2 CompareElicitationResultsAgainstOtherElicitationResults
Businessanalystscompareresultscollectedthroughmultipleelicitationactivities
toconfirmthattheinformationisconsistentandaccuratelyrepresented.As
comparisonsaredrawn,businessanalystsidentifyvariationsinresultsandresolve
themincollaborationwithstakeholders.Comparisonsmayalsobemadewith
historicaldatatoconfirmmorerecentelicitationresults.
Inconsistenciesinelicitationresultsareoftenuncoveredwhenbusinessanalysts
developspecificationsandmodels.Thesemodelsmaybedevelopedduringan
elicitationactivitytoimprovecollaboration.
66
4.3.5
CommunicateBusinessAnalysisInformation
GuidelinesandTools
ElicitationActivityPlan:usedtoguidewhichalternativesourcesandwhich
elicitationresultsaretobecompared.
ExistingBusinessAnalysisInformation:canbeusedtoconfirmtheresults
ofelicitationactivitiesortodevelopadditionalquestionstodrawoutmore
detailedinformation.
4.3.6
Techniques
DocumentAnalysis:usedtoconfirmelicitationresultsagainstsource
informationorotherexistingdocuments.
Reviews:usedtoconfirmasetofelicitationresults.Suchreviewscouldbe
informalorformaldependingontherisksofnothavingcorrect,useful,and
relevantinformation.
Workshops:usedtoconductreviewsofthedraftedelicitationresultsusingany
levelofformality.Apredeterminedagenda,scripts,orscenariotestsmaybe
usedtowalkthroughtheelicitationresults,andfeedbackisrequestedfromthe
participantsandrecorded.
4.3.7
Stakeholders
DomainSubjectMatterExperts:peoplewithsubstantialknowledge,
experience,orexpertiseaboutthebusinessanalysisinformationbeingelicited,
oraboutthechangeorthesolution,helptoconfirmthatelicitationresultsare
correct,andcanhelptoidentifyomissions,inconsistenciesandconflictsin
elicitationresults.Theycanalsoconfirmthattherightbusinessanalysis
informationhasbeenelicited.
Anystakeholder:alltypesofstakeholdersmayneedtoparticipatein
confirmingelicitationresults.
4.3.8
Outputs
ElicitationResults(confirmed):integratedoutputthatthebusinessanalyst
andotherstakeholdersagreecorrectlyreflectscapturedinformationand
confirmsthatitisrelevantandusefulasaninputtofurtherwork.
4.4
4.4.1
Purpose
ThepurposeofCommunicateBusinessAnalysisInformationistoensure
stakeholdershaveasharedunderstandingofbusinessanalysisinformation.
67
Interviews:usedtoconfirmthebusinessanalysisinformationandtoconfirm
thattheintegrationofthatinformationiscorrect.
4.4.2
Description
Businessanalystsmustcommunicateappropriateinformationtostakeholdersat
therighttimeandinformatsthatmeettheirneeds.Considerationisgivento
expressingtheinformationinlanguage,tone,andstylethatisappropriatetothe
audience.
Communicationofbusinessanalysisinformationisbidirectionalanditerative.It
involvesdeterminingtherecipients,content,purpose,context,andexpected
outcomes.TaskPlanStakeholderEngagement(p.31)evaluatescommunication
needsandplansanticipatedmessages.
Communicatinginformationdoesnotsimplyinvolvepushinginformationoutand
assumingitwasreceivedandunderstood.Businessanalystsengagestakeholders
toensuretheyunderstandtheinformationandgainagreement.Thebusiness
analystactsonanydisagreements.Themethodofdeliveringtheinformationmay
needtochangeifthestakeholdersarenotreceivingorunderstandingit.Multiple
formsofcommunicationmightberequiredforthesameinformation.
4.4.3
Inputs
BusinessAnalysisInformation:anykindofinformationatanylevelofdetail
thatisusedasaninputoroutputofbusinessanalysiswork.Businessanalysis
informationbecomesaninputforthistaskwhentheneedisdiscoveredto
communicatetheinformationtoadditionalstakeholders.
StakeholderEngagementApproach:describesstakeholdergroups,roles,
andgeneralneedsregardingcommunicationofbusinessanalysisinformation.
Figure4.4.1:CommunicateBusinessAnalysisInformationInput/OutputDiagram
Input
BusinessAnalysis
Information
GuidelinesandTools
3.2
Stakeholder
Engagement
Approach
4.4
CommunicateBusinessAnalysis
Information
Approach
Output
4.4
BusinessAnalysis
Information
(communicated)
68
4.4.4
Elements
.1 DetermineObjectivesandFormatofCommunication
Businessanalysisinformationpackagesmaybepreparedforanumberofreasons
includingbutnotlimitedtothefollowing:
communicationofrequirementsanddesignstostakeholders,
earlyassessmentofqualityandplanning,
evaluationofpossiblealternatives,
formalreviewsandapprovals,
inputstosolutiondesign,
conformancetocontractualandregulatoryobligations,and
Theprimarygoalofdevelopingapackageistoconveyinformationclearlyandin
usableformatforcontinuingchangeactivities.Tohelpdecidehowtopresent
requirements,businessanalystsaskthefollowingtypesofquestions:
Whoistheaudienceofthepackage?
Whatwilleachtypeofstakeholderunderstandandneedfromthe
communication?
Whatiseachstakeholderspreferredstyleofcommunicationorlearning?
Whatinformationisimportanttocommunicate?
Arethepresentationandformatofthepackage,andtheinformation
containedinthepackage,appropriateforthetypeofaudience?
Howdoesthepackagesupportotheractivities?
Arethereanyregulatoryorcontractualconstraintstoconformto?
Possibleformsforpackagesmayinclude:
FormalDocumentation:isusuallybasedonatemplateusedbythe
organizationandmayincludetext,matrices,ordiagrams.Itprovidesa
stable,easytouse,longtermrecordoftheinformation.
InformalDocumentation:mayincludetext,diagrams,ormatricesthat
areusedduringachangebutarenotpartofaformalorganizational
process.
Presentations:deliverahighleveloverviewappropriateforunderstanding
goalsofachange,functionsofasolution,orinformationtosupport
decisionmaking.
Considerationisgiventothebestwaytocombineandpresentthematerialsto
conveyacohesiveandeffectivemessagetooneormorestakeholdergroups.
Packagescanbestoredindifferentonlineorofflinerepositories,including
documentsortools.
69
maintenanceforreuse.
.2 CommunicateBusinessAnalysisPackage
Thepurposeofcommunicatingthebusinessanalysispackageistoprovide
stakeholderswiththeappropriatelevelofdetailaboutthechangesotheycan
understandtheinformationitcontains.Stakeholdersaregiventheopportunityto
reviewthepackage,askquestionsabouttheinformation,andraiseanyconcerns
theymayhave.
Selectingtheappropriatecommunicationplatformisalsoimportant.Common
communicationplatformsinclude:
Groupcollaboration:usedtocommunicatethepackagetoagroupof
relevantstakeholdersatthesametime.Itallowsimmediatediscussion
abouttheinformationandrelatedissues.
Individualcollaboration:usedtocommunicatethepackagetoasingle
stakeholderatatime.Itcanbeusedtogainindividualunderstandingofthe
informationwhenagroupsettingisnotfeasible,mostproductive,orgoing
toyieldthebestresults.
Emailorothernonverbalmethods:usedtocommunicatethepackage
whenthereisahighmaturitylevelofinformationthatwillneedlittleorno
verbalexplanationtosupportit.
4.4.5
GuidelinesandTools
BusinessAnalysisApproach:describeshowthevarioustypesofinformation
willbedisseminatedratherthanwhatwillbedisseminated.Itdescribesthelevel
ofdetailandformalityrequired,frequencyofthecommunications,andhow
communicationscouldbeaffectedbythenumberandgeographicdispersionof
stakeholders.
InformationManagementApproach:helpsdeterminehowbusinessanalysis
informationwillbepackagedandcommunicatedtostakeholders.
4.4.6
Techniques
Interviews:usedtoindividuallycommunicateinformationtostakeholders.
Reviews:usedtoprovidestakeholderswithanopportunitytoexpress
feedback,requestrequiredadjustments,understandrequiredresponsesand
actions,andagreeorprovideapprovals.Reviewscanbeusedduringgroupor
individualcollaboration.
Workshops:usedtoprovidestakeholderswithanopportunitytoexpress
feedbackandtounderstandrequiredadjustments,responses,andactions.They
arealsousefulforgainingconsensusandprovidingapprovals.Typicallyused
duringgroupcollaboration.
4.4.7
Stakeholders
EndUser:needstobecommunicatedwithfrequentlysotheyareawareof
relevantbusinessanalysisinformation.
Customer:needstobecommunicatedwithfrequentlysotheyareawareof
relevantbusinessanalysisinformation.
70
ManageStakeholderCollaboration
DomainSubjectMatterExpert:needstounderstandthebusinessanalysis
informationaspartofconfirmingandvalidatingitthroughoutthechange
initiative.
ImplementationSubjectMatterExpert:needstobeawareofand
understandthebusinessanalysisinformation,particularlyrequirementsand
designs,forimplementationpurposes.
Tester:needstobeawareofandunderstandthebusinessanalysisinformation,
particularlyrequirementsanddesignsfortestingpurposes.
Anystakeholder:alltypesofstakeholderswilllikelyneedtobe
communicatedwithatsomepointduringthechangeinitiative.
4.4.8
Outputs
4.5
4.5.1
Purpose
ThepurposeofManageStakeholderCollaborationistoencouragestakeholders
toworktowardsacommongoal.
4.5.2
Description
Businessanalysisworklendsitselftomanycollaborationopportunitiesbetween
groupsofstakeholdersonthebusinessanalysisworkproducts.Stakeholdershold
variousdegreesofinfluenceandauthorityovertheapprovalofworkproducts,
andarealsoanimportantsourceofneeds,constraints,andassumptions.Asthe
businessanalysisworkprogresses,thebusinessanalystidentifiesstakeholders,
confirmstheirroles,andcommunicateswiththemtoensurethattheright
stakeholdersparticipateattherighttimesandintheappropriateroles.
Managingstakeholdercollaborationisanongoingactivity.Althoughmanaging
stakeholdercollaborationbeginsoncestakeholdershavebeenidentifiedand
analyzed,newstakeholdersmaybeidentifiedatanypointduringaninitiative.As
newstakeholdersareidentified,theirrole,influence,andrelationshiptothe
initiativeareanalyzed.Eachstakeholder'srole,responsibility,influence,attitude,
andauthoritymaychangeovertime.
Themoresignificanttheimpactofthechangeoritsvisibilitywithinthe
organization,themoreattentionisdirectedtomanagingstakeholder
collaboration.Businessanalystsmanagestakeholdercollaborationtocapitalize
onpositivereactions,andmitigateoravoidnegativereactions.Thebusiness
analystshouldconstantlymonitorandassesseachstakeholdersattitudeto
determineifitmightaffecttheirinvolvementinthebusinessanalysisactivities.
71
BusinessAnalysisInformation(communicated):businessanalysis
informationisconsideredcommunicatedwhenthetargetstakeholdershave
reachedanunderstandingofitscontentandimplications.
Poorrelationshipswithstakeholderscanhavemanydetrimentaleffectson
businessanalysis,including:
failuretoprovidequalityinformation,
strongnegativereactionstosetbacksandobstacles,
resistancetochange,
lackofsupportfor,andparticipationin,businessanalysiswork,and
businessanalysisinformationbeingignored.
Theseeffectscanbemodifiedinpartthroughstrong,positive,andtrustbased
relationshipswithstakeholders.Businessanalystsactivelymanagerelationships
withstakeholderswho:
provideservicestothebusinessanalyst,includinginputstobusinessanalysis
tasksandothersupportactivities,
dependonservicesprovidedbythebusinessanalyst,includingoutputsof
businessanalysistasks,and
participateintheexecutionofbusinessanalysistasks.
4.5.3
Inputs
StakeholderEngagementApproach:describesthetypesofexpected
engagementwithstakeholdersandhowtheymightneedtobemanaged.
BusinessAnalysisPerformanceAssessment:provideskeyinformation
abouttheeffectivenessofbusinessanalysistasksbeingexecuted,including
thosefocusedonstakeholderengagement.
Figure4.5.1:ManageStakeholderCollaborationInput/OutputDiagram
Input
GuidelinesandTools
3.2
Stakeholder
Engagement
Approach
3.5Business
Analysis
Performance
Assessment
BusinessObjectives
4.5
ManageStakeholder
Collaboration
FutureStateDescription
Output
RecommendedActions
4.5
Stakeholder
Engagement
RiskAnalysisResults
72
4.5.4
Elements
.1 GainAgreementonCommitments
Stakeholdersparticipateinbusinessanalysisactivitiesthatmayrequiretimeand
resourcecommitments.Thebusinessanalystandstakeholdersidentifyandagree
uponthesecommitmentsasearlyintheinitiativeaspossible.Thespecificdetails
ofthecommitmentscanbecommunicatedformallyorinformally,aslongasthere
isexplicitunderstandingoftheexpectationsanddesiredoutcomesofthe
commitment.
.2 MonitorStakeholderEngagement
Businessanalystsmonitortheparticipationandperformanceofstakeholdersto
ensurethat:
therightsubjectmatterexperts(SMEs)andotherstakeholdersare
participatingeffectively,
stakeholderattitudesandinterestarestayingconstantorimproving,
elicitationresultsareconfirmedinatimelymanner,and
agreementsandcommitmentsaremaintained.
Businessanalystscontinuallymonitorforsuchrisksas:
stakeholdersbeingdivertedtootherwork,
elicitationactivitiesnotprovidingthequalityofbusinessanalysis
informationrequired,and
delayedapprovals.
.3 Collaboration
Stakeholdersaremorelikelytosupportchangeifbusinessanalystscollaborate
withthemandencouragethefreeflowofinformation,ideas,andinnovations.
Genuinestakeholderengagementrequiresthatallstakeholdersinvolvedfeelthat
theyareheard,theiropinionsmatter,andtheircontributionsarerecognized.
Collaborationinvolvesregular,frequent,andbidirectionalcommunication.
Collaborativerelationshipshelpmaintainthefreeflowofinformationwhen
obstaclesandsetbacksoccur,andpromoteasharedefforttoresolveproblems
andachievedesiredoutcomes.
73
Theremaybedialogueandnegotiationregardingthetermsandconditionsofthe
commitments.Effectivenegotiation,communication,andconflictresolutionskills
areimportanttoeffectivestakeholdermanagement(seeNegotiationandConflict
Resolution(p.210)).
4.5.5
GuidelinesandTools
BusinessAnalysisApproach:describesthenatureandlevelofcollaboration
requiredfromeachstakeholdergrouptoperformplannedbusinessanalysis
activities.
BusinessObjectives:describethedesireddirectionneededtoachievethe
futurestate.Theycanbeusedtofocusdiversestakeholdersonacommon
visionofthedesiredbusinessoutcomes.
FutureStateDescription:definesthedesiredfuturestateandtheexpected
valueitdeliverswhichcanbeusedtofocusdiversestakeholdersonthe
commongoal.
RecommendedActions:communicatingwhatshouldbedonetoimprovethe
valueofasolutioncanhelptogalvanizesupportandfocusstakeholdersona
commongoal.
RiskAnalysisResults:stakeholderrelatedriskswillneedtobeaddressedto
ensurestakeholdercollaborationactivitiesaresuccessful.
4.5.6
Techniques
CollaborativeGames:usedtostimulateteamworkandcollaborationby
temporarilyimmersingparticipantsinasafeandfunsituationinwhichtheycan
sharetheirknowledgeandexperienceonagiventopic,identifyhidden
assumptions,andexplorethatknowledgeinwaysthatmaynotoccurduring
thecourseofnormalinteractions.
LessonsLearned:usedtounderstandstakeholders'satisfactionor
dissatisfaction,andofferthemanopportunitytohelpimprovetheworking
relationships.
RiskAnalysisandManagement:usedtoidentifyandmanagerisksasthey
relatetostakeholderinvolvement,participation,andengagement.
StakeholderList,Map,orPersonas:usedtodeterminewhoisavailableto
participateinthebusinessanalysiswork,showtheinformalrelationships
betweenstakeholders,andunderstandwhichstakeholdersshouldbeconsulted
aboutdifferentkindsofbusinessanalysisinformation.
4.5.7
Stakeholders
Allstakeholders:alltypesofstakeholderswhomightbeinvolvedin
collaborationduringchange.
4.5.8
Outputs
StakeholderEngagement:willingnessfromstakeholderstoengagein
businessanalysisactivitiesandinteractwiththebusinessanalystwhen
necessary.
74
TheRequirementsLifeCycleManagementknowledgeareadescribesthetasks
thatbusinessanalystsperforminordertomanageandmaintainrequirements
anddesigninformationfrominceptiontoretirement.Thesetasksdescribe
establishingmeaningfulrelationshipsbetweenrelatedrequirementsanddesigns,
assessingchangestorequirementsanddesignswhenchangesareproposed,and
analyzingandgainingconsensusonchanges.
Thepurposeofrequirementslifecyclemanagementistoensurethatbusiness,
stakeholder,andsolutionrequirementsanddesignsarealignedtooneanother
andthatthesolutionimplementsthem.Itinvolvesalevelofcontrolover
requirementsandoverhowrequirementswillbeimplementedintheactual
solutiontobeconstructedanddelivered.Italsohelpstoensurethatbusiness
analysisinformationisavailableforfutureuse.
Therequirementslifecycle:
beginswiththerepresentationofabusinessneedasarequirement,
continuesthroughthedevelopmentofasolution,and
endswhenasolutionandtherequirementsthatrepresentitareretired.
Themanagementofrequirementsdoesnotendonceasolutionisimplemented.
Throughoutthelifeofasolution,requirementscontinuetoprovidevaluewhen
theyaremanagedappropriately.
WithintheRequirementsLifeCycleManagementknowledgearea,theconceptof
alifecycleisseparatefromamethodologyorprocessusedtogovernbusiness
analysiswork.Lifecyclereferstotheexistenceofvariousphasesorstatesthat
requirementspassthroughaspartofanychange.Requirementsmaybein
multiplestatesatonetime.
75
RequirementsLifeCycleManagement
Thestateslisted
herearenot
intendedtobea
comprehensive
listing.
Figure5.0.1:RequirementsLifeCycleManagement
BringForward
Yes
Assess
No
Manage
Approval/
Consensus
Yes
No
Trace
Maintain
Prioritize
Potential
Requirement
TheRequirementsLifeCycleManagementknowledgeareaincludesthefollowing
tasks:
TraceRequirements:analyzesandmaintainstherelationshipsbetween
requirements,designs,solutioncomponents,andotherworkproductsfor
impactanalysis,coverage,andallocation.
MaintainRequirements:ensuresthatrequirementsanddesignsare
accurateandcurrentthroughoutthelifecycleandfacilitatesreusewhere
appropriate.
PrioritizeRequirements:assessesthevalue,urgency,andrisksassociated
withparticularrequirementsanddesignstoensurethatanalysisand/or
deliveryworkisdoneonthemostimportantonesatanygiventime.
AssessRequirementsChanges:evaluatesnewandchangingstakeholder
requirementstodetermineiftheyneedtobeactedonwithinthescopeofa
change.
ApproveRequirements:workswithstakeholdersinvolvedinthe
governanceprocesstoreachapprovalandagreementonrequirementsand
designs.
TheCoreConceptModelinRequirementsLifeCycle
Management
relationshipsamongthesixcoreconcepts.
Thefollowingtabledescribestheusageandapplicationofeachofthecore
conceptswithinthecontextofRequirementsLifeCycleManagement.
76
Table5.0.1:TheCoreConceptModelinRequirementsLifeCycleManagement
DuringRequirementsLifeCycle
Management,businessanalysts...
inresponsetoaneed.
managehowproposedchangesto
requirementsanddesignsareevaluated
duringaninitiative.
beaddressed.
trace,prioritizeandmaintain
requirementstoensurethattheneedis
met.
context.
tracerequirementsanddesignsto
solutioncomponentstoensurethatthe
solutionsatisfiestheneed.
solution.
workcloselywithkeystakeholdersto
maintainunderstanding,agreement,and
approvalofrequirementsanddesigns.
maintainrequirementsforreusetoextend
valuebeyondthecurrentinitiative.
change.
analyzethecontexttosupporttracing
andprioritizationactivities.
77
CoreConcept
Figure5.0.2:RequirementsLifeCycleManagementInput/OutputDiagram
Input
Requirements
Designs
ProposedChange
7.2
Requirements
(verified)
Tasks
5.1
Trace
Requirements
5.2
Maintain
Requirements
5.4
Assess
Requirements
Changes
5.3
Prioritize
Requirements
5.5
Approve
Requirements
Output
5.1
Requirements(traced)
5.1
Designs(traced)
5.2
Requirements
(maintained)
5.2
Designs(maintained)
5.3
Requirements
(prioritized)
5.3
Designs(prioritized)
5.4
RequirementsChange
Assessment
5.4
DesignsChange
Assessment
5.5
Requirements
(approved)
5.5
Designs(approved)
78
5.1
5.1.1
TraceRequirements
TraceRequirements
Purpose
ThepurposeofTraceRequirementsistoensurethatrequirementsanddesignsat
differentlevelsarealignedtooneanother,andtomanagetheeffectsofchange
toonelevelonrelatedrequirements.
5.1.2
Description
Traceabilityenables:
fasterandsimplerimpactanalysis,
morereliablediscoveryofinconsistenciesandgapsinrequirements,
deeperinsightsintothescopeandcomplexityofachange,and
reliableassessmentofwhichrequirementshavebeenaddressedandwhich
havenot.
Formore
informationon
allocation,see
Define
Requirements
Architecture
(p.148).
Itisoftendifficulttoaccuratelyrepresentneedsandsolutionswithouttakinginto
accounttherelationshipsthatexistbetweenthem.Whiletraceabilityisvaluable,
thebusinessanalystbalancesthenumberofrelationshiptypeswiththebenefit
gainedbyrepresentingthem.Traceabilityalsosupportsbothrequirements
allocationandreleaseplanningbyprovidingadirectlineofsightfrom
requirementtoexpressedneed.
Thefollowingimagesshowexamplesofvisualrepresentationsoftraceabilityfora
processandforsoftwarerequirements.
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Requirementstraceabilityidentifiesanddocumentsthelineageofeach
requirement,includingitsbackwardtraceability,itsforwardtraceability,andits
relationshiptootherrequirements.Traceabilityisusedtohelpensurethatthe
solutionconformstorequirementsandtoassistinscope,change,risk,time,cost,
andcommunicationmanagement.Itisalsousedtodetectmissingfunctionality
ortoidentifyifthereisimplementedfunctionalitythatisnotsupportedbyany
requirement.
TraceRequirements
Figure5.1.1:ProcessTraceability
ValueChain
Business
Process
Subprocess
Activity
Task
Figure5.1.2:SoftwareRequirementsTraceability
BusinessNeeds
5.1.3
Business
Requirements
Design
Stakeholder
Requirements
Code
Solution
Requirements
Test
Inputs
Requirements:maybetracedtootherrequirements(includinggoals,
objectives,businessrequirements,stakeholderrequirements,solution
requirements,andtransitionrequirements),solutioncomponents,visuals,
businessrules,andotherworkproducts.
Designs:maybetracedtootherrequirements,solutioncomponents,andother
workproducts.
80
TraceRequirements
Figure5.1.3:TraceRequirementsInput/OutputDiagram
Input
GuidelinesandTools
Requirements
Designs
DomainKnowledge
Approach
5.1
TraceRequirements
Legal/Regulatory
Information
Output
5.1
Requirements
(traced)
5.1
Designs
(traced)
7.5
DefineDesign
Options
5.1.4
Elements
.1 LevelofFormality
Whentracingrequirements,businessanalystsconsiderthevaluethateachlinkis
supposedtodeliver,aswellasthenatureanduseofthespecificrelationshipsthat
arebeingcreated.
Theefforttotracerequirementsgrowssignificantlywhenthenumberof
requirementsorlevelofformalityincreases.
.2 Relationships
Thereareseveraltypesofrelationshipsthatthebusinessanalystconsiderswhen
definingthetraceabilityapproach:
Derive:relationshipbetweentworequirements,usedwhenarequirement
isderivedfromanotherrequirement.Thistypeofrelationshipisappropriate
tolinktherequirementsondifferentlevelsofabstraction.Forexample,a
solutionrequirementderivedfromabusinessorastakeholderrequirement.
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RequirementsManagement
Tools/Repository
TraceRequirements
Depends:relationshipbetweentworequirements,usedwhena
requirementdependsonanotherrequirement.Typesofdependency
relationshipsinclude:
Necessity:whenitonlymakessensetoimplementaparticular
requirementifarelatedrequirementisalsoimplemented.
Effort:whenarequirementiseasiertoimplementifarelated
requirementisalsoimplemented.
Satisfy:relationshipbetweenanimplementationelementandthe
requirementsitissatisfying.Forexample,therelationshipbetweena
functionalrequirementandasolutioncomponentthatisimplementingit.
Validate:relationshipbetweenarequirementandatestcaseorother
elementthatcandeterminewhetherasolutionfulfillstherequirement.
.3 TraceabilityRepository
Requirementstraceabilityisdocumentedandmaintainedinaccordancewiththe
methodsidentifiedbythebusinessanalysisapproach.Requirements
managementtoolscanprovidesignificantbenefitswhenthereisaneedtotrace
alargenumberofrequirementsthatmaybedeemedunmanageablewithmanual
approaches.
5.1.5
GuidelinesandTools
DomainKnowledge:knowledgeofandexpertiseinthebusinessdomain
neededtosupporttraceability.
InformationManagementApproach:providesdecisionsfromplanning
activitiesconcerningthetraceabilityapproach.
mustbefollowed.Thesemayneedtobeconsideredwhendefiningtraceability
rules.
RequirementsManagementTools/Repository:usedtostoreandmanage
businessanalysisinformation.Thetoolmaybeassimpleasatextdocumentor
ascomplexasadedicatedrequirementsmanagementtool.
5.1.6
Techniques
BusinessRulesAnalysis:usedtotracebusinessrulestorequirementsthat
theysupport,orrulesthatsupportrequirements.
FunctionalDecomposition:usedtobreakdownsolutionscopeintosmaller
componentsforallocation,aswellastotracehighlevelconceptstolowlevel
concepts.
ProcessModelling:usedtovisuallyshowthefuturestateprocess,aswellas
tracingrequirementstothefuturestateprocess.
ScopeModelling:usedtovisuallydepictscope,aswellastracerequirements
totheareaofscopetherequirementsupports.
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5.1.7
MaintainRequirements
Stakeholders
Customers:areaffectedbyhowandwhenrequirementsareimplemented,and
mayhavetobeconsultedabout,oragreeto,thetraceabilityrelationships.
DomainSubjectMatterExpert:mayhaverecommendationsregardingthe
setofrequirementstobelinkedtoasolutioncomponentortoarelease.
EndUser:mayrequirespecificdependencyrelationshipsthatallowcertain
requirementstobeimplementedatthesametimeorinaspecificsequence.
ImplementationSubjectMatterExpert:traceabilityensuresthatthe
solutionbeingdevelopedmeetsthebusinessneedandbringsawarenessof
dependenciesbetweensolutioncomponentsduringimplementation.
ProjectManager:traceabilitysupportsprojectchangeandscope
management.
Sponsor:isrequiredtoapprovethevariousrelationships.
Suppliers:areaffectedbyhowandwhenrequirementsareimplemented.
Tester:needstounderstandhowandwhererequirementsareimplemented
whencreatingtestplansandtestcases,andmaytracetestcasesto
requirements.
5.1.8
Outputs
Requirements(traced):haveclearlydefinedrelationshipstoother
requirements,solutioncomponents,orreleases,phases,oriterations,withina
solutionscope,suchthatcoverageandtheeffectsofchangeareclearly
identifiable.
Designs(traced):clearlydefinedrelationshipstootherrequirements,solution
components,orreleases,phases,oriterations,withinasolutionscope,such
thatcoverageandtheeffectsofchangeareclearlyidentifiable.
5.2
5.2.1
Purpose
ThepurposeofMaintainRequirementsistoretainrequirementaccuracyand
consistencythroughoutandbeyondthechangeduringtheentirerequirements
lifecycle,andtosupportreuseofrequirementsinothersolutions.
5.2.2
Description
Arequirementthatrepresentsanongoingneedmustbemaintainedtoensure
thatitremainsvalidovertime.
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OperationalSupport:traceabilitydocumentationprovidesanotherreference
sourceforhelpdesksupport.
Inordertomaximizethebenefitsofmaintainingandreusingrequirements,the
requirementsshouldbe:
consistentlyrepresented,
reviewedandapprovedformaintenanceusingastandardizedprocessthat
definesproperaccessrightsandensuresquality,and
easilyaccessibleandunderstandable.
5.2.3
Inputs
Requirements:includegoals,objectives,businessrequirements,stakeholder
requirements,solutionrequirements,andtransitionrequirements.Theseshould
bemaintainedthroughouttheirlifecycle.
Designs:canbemaintainedthroughouttheirlifecycle,asneeded.
Figure5.2.1:MaintainRequirementsInput/OutputDiagram
Input
Requirements
Designs
GuidelinesandTools
5.2
Approach
Output
5.2
Requirements
(maintained)
5.2.4
5.2
Designs
(maintained)
Elements
.1 MaintainRequirements
Requirementsaremaintainedsothattheyremaincorrectandcurrentafteran
approvedchange.Businessanalystsareresponsibleforconductingmaintenance
toensurethislevelofaccuracyisretained.Forrequirementstobeproperly
maintainedtheymustbeclearlynamedanddefined,andeasilyavailableto
stakeholders.
Businessanalystsalsomaintaintherelationshipsamongrequirements,setsof
requirements,andassociatedbusinessanalysisinformationtoensurethecontext
andoriginalintentoftherequirementispreserved.Repositorieswithaccepted
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taxonomiesassistinestablishingandmaintaininglinksbetweenmaintained
requirements,andfacilitaterequirementsanddesignstraceability.
.2 MaintainAttributes
Whileelicitingrequirements,businessanalystselicitrequirementattributes.
Informationsuchastherequirementssource,priority,andcomplexityaidin
managingeachrequirementthroughoutthelifecycle.Someattributeschangeas
thebusinessanalystuncoversmoreinformationandconductsfurtheranalysis.An
attributemaychangeeventhoughtherequirementdoesnot.
.3 ReusingRequirements
Therearesituationsinwhichrequirementscanbereused.
withinthecurrentinitiative,
withinsimilarinitiatives,
withinsimilardepartments,and
throughouttheentireorganization.
Requirementsathighlevelsofabstractionmaybewrittenwithlimitedreference
tospecificsolutions.Requirementsthatarerepresentedinageneralmanner,
withoutdirecttiestoaparticulartoolororganizationalstructure,tendtobemore
reusable.Theserequirementsarealsolesssubjecttorevisionduringachange.As
requirementsareexpressedinmoredetail,theybecomemoretightlyassociated
withaspecificsolutionorsolutionoption.Specificreferencestoapplicationsor
departmentslimitthereuseofrequirementsanddesignsacrossanorganization.
Requirementsthatareintendedforreusereflectthecurrentstateofthe
organization.Stakeholdersvalidatetheproposedrequirementsforreusebefore
theycanbeacceptedintoachange.
5.2.5
GuidelinesandTools
InformationManagementApproach:indicateshowrequirementswillbe
managedforreuse.
5.2.6
Techniques
BusinessRulesAnalysis:usedtoidentifybusinessrulesthatmaybesimilar
acrosstheenterpriseinordertofacilitatereuse.
DataFlowDiagrams:usedtoidentifyinformationflowthatmaybesimilar
acrosstheenterpriseinordertofacilitatereuse.
DataModelling:usedtoidentifydatastructurethatmaybesimilaracrossthe
enterpriseinordertofacilitatereuse.
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Requirementsthatarecandidatesforlongtermusebytheorganizationare
identified,clearlynamed,defined,andstoredinamannerthatmakesthemeasily
retrievablebyotherstakeholders.Dependingonthelevelofabstractionand
intendedneedbeingaddressed,requirementscanbereused:
PrioritizeRequirements
DocumentAnalysis:usedtoanalyzeexistingdocumentationaboutan
enterprisethatcanserveasthebasisformaintainingandreusingrequirements.
FunctionalDecomposition:usedtoidentifyrequirementsassociatedwiththe
componentsandavailableforreuse.
ProcessModelling:usedtoidentifyrequirementsassociatedwiththe
processesthatmaybeavailableforreuse.
UseCasesandScenarios:usedtoidentifyasolutioncomponentthatmaybe
utilizedbymorethanonesolution.
UserStories:usedtoidentifyrequirementsassociatedwiththestorythatmay
beavailableforreuse.
5.2.7
Stakeholders
DomainSubjectMatterExpert:referencesmaintainedrequirementsona
regularbasistoensuretheyareaccuratelyreflectingstatedneeds.
ImplementationSubjectMatterExpert:utilizesmaintainedrequirements
whendevelopingregressiontestsandconductingimpactanalysisforan
enhancement.
OperationalSupport:maintainedrequirementsarelikelytobereferencedto
confirmthecurrentstate.
Regulator:maintainedrequirementsarelikelytobereferencedtoconfirm
compliancetostandards.
Tester:maintainedrequirementsareusedbytesterstoaidintestplanandtest
casecreation.
5.2.8
Outputs
Requirements(maintained):definedonceandavailableforlongtermusage
bytheorganization.Theymaybecomeorganizationalprocessassetsorbeused
infutureinitiatives.Insomecases,arequirementthatwasnotapprovedor
implementedmaybemaintainedforapossiblefutureinitiative.
Designs(maintained):maybereusableoncedefined.Forexample,asaself
containedcomponentthatcanbemadeavailableforpossiblefutureuse.
5.3
5.3.1
Purpose
ThepurposeofPrioritizeRequirementsistorankrequirementsintheorderof
relativeimportance.
86
5.3.2
Description
Prioritizationistheactofrankingrequirementstodeterminetheirrelative
importancetostakeholders.Whenarequirementisprioritized,itisgivengreater
orlesserpriority.Prioritycanrefertotherelativevalueofarequirement,ortothe
sequenceinwhichitwillbeimplemented.Prioritizationisanongoingprocess,
withprioritieschangingasthecontextchanges.
Interdependenciesbetweenrequirementsareidentifiedandmaybeusedasthe
basisforprioritization.Prioritizationisacriticalexercisethatseekstoensurethe
maximumvalueisachieved.
5.3.3
Inputs
Designs:anydesignsintheformoftext,prototypes,ordiagramsthatareready
toprioritize.
Figure5.3.1:PrioritizeRequirementsInput/OutputDiagram
Input
GuidelinesandTools
BusinessConstraints
Requirements
Designs
ChangeStrategy
DomainKnowledge
5.3
GovernanceApproach
Output
RequirementsArchitecture
5.3
Requirements
(prioritized)
Tools/Repository
5.3
Designs
(prioritized)
SolutionScope
6.3
AssessRisks
87
Requirements:anyrequirementsintheformoftext,matrices,ordiagrams
thatarereadytoprioritize.
5.3.4
Elements
.1 BasisforPrioritization
Thebasisonwhichrequirementsareprioritizedisagreeduponbyrelevant
stakeholdersasdefinedintheBusinessAnalysisPlanningandMonitoring
knowledgearea.
Typicalfactorsthatinfluenceprioritizationinclude:
Benefit:theadvantagethataccruestostakeholdersasaresultof
requirementimplementation,asmeasuredagainstthegoalsandobjectives
forthechange.Thebenefitprovidedcanrefertoaspecificfunctionality,
desiredquality,orstrategicgoalorbusinessobjective.Iftherearemultiple
stakeholders,eachgroupmayperceivebenefitsdifferently.Conflict
resolutionandnegotiationmaybeemployedtocometoconsensuson
overallbenefit.
Penalty:theconsequencesthatresultfromnotimplementingagiven
requirement.Thisincludesprioritizingrequirementsinordertomeet
regulatoryorpolicydemandsimposedontheorganization,whichmaytake
precedenceoverotherstakeholderinterests.Penaltymayalsorefertothe
negativeconsequenceofnotimplementingarequirementthatimproves
theexperienceofacustomer.
Cost:theeffortandresourcesneededtoimplementtherequirement.
Informationaboutcosttypicallycomesfromtheimplementationteamor
thevendor.Customersmaychangethepriorityofarequirementafter
learningthecost.Costisoftenusedinconjunctionwithothercriteria,such
ascostbenefitanalysis.
Risk:thechancethattherequirementcannotdeliverthepotentialvalue,or
cannotbemetatall.Thismayincludemanyfactorssuchasthedifficultyof
implementingarequirement,orthechancethatstakeholderswillnot
acceptasolutioncomponent.Ifthereisariskthatthesolutionisnot
technicallyfeasible,therequirementthatismostdifficulttoimplementmay
beprioritizedtothetopofthelistinordertominimizetheresourcesthat
arespentbeforelearningthataproposedsolutioncannotbedelivered.A
proofofconceptmaybedevelopedtoestablishthathighriskoptionsare
possible.
Dependencies:relationshipsbetweenrequirementswhereone
requirementcannotbefulfilledunlesstheotherrequirementisfulfilled.In
somesituations,itmaybepossibletoachieveefficienciesbyimplementing
relatedrequirementsatthesametime.Dependenciesmayalsobeexternal
totheinitiative,includingbutnotlimitedtootherteamsdecisions,funding
commitments,andresourceavailability.Dependenciesareidentifiedaspart
ofthetaskTraceRequirements(p.79).
TimeSensitivity:the'bestbefore'dateoftherequirement,afterwhich
theimplementationoftherequirementlosessignificantvalue.Thisincludes
timetomarketscenarios,inwhichthebenefitderivedwillbeexponentially
88
greaterifthefunctionalityisdeliveredaheadofthecompetition.Itcanalso
refertoseasonalfunctionalitythatonlyhasvalueataspecifictimeofyear.
Stability:thelikelihoodthattherequirementwillchange,eitherbecauseit
requiresfurtheranalysisorbecausestakeholdershavenotreacheda
consensusaboutit.Ifarequirementisnotstable,itmayhavealower
priorityinordertominimizeunanticipatedreworkandwastedeffort.
RegulatoryorPolicyCompliance:requirementsthatmustbe
implementedinordertomeetregulatoryorpolicydemandsimposedonthe
organization,whichmaytakeprecedenceoverotherstakeholderinterests.
.2 ChallengesofPrioritization
Differenttypesofrequirementsmaynotallrespondtothecriteriainthesame
wayandmayappeartoconflict.Theremaybeaneedforstakeholderstomake
tradeoffsinprioritization.
.3 ContinualPrioritization
Prioritiesmayshiftasthecontextevolvesandasmoreinformationbecomes
available.Initially,prioritizationisdoneatahigherlevelofabstraction.Asthe
requirementsarefurtherrefined,prioritizationisdoneatamoregranularlevel
andwillincorporateadditionalbasesforprioritizationastheybecome
appropriate.Thebasisforprioritizationmaybedifferentatvariousstagesofthe
change.Forexample,stakeholdersmayinitiallyprioritizebasedonbenefits.The
implementationteammaythenreprioritizetherequirementsbasedonthe
sequenceinwhichtheymustbeimplementedduetotechnicalconstraints.Once
theimplementationteamhasprovidedthecostofeachrequirement,the
stakeholdersmayreprioritizeyetagain.
5.3.5
GuidelinesandTools
BusinessConstraints:regulatorystatutes,contractualobligationsand
businesspoliciesthatmaydefinepriorities.
ChangeStrategy:providesinformationoncosts,timelines,andvalue
realizationwhichareusedtodeterminepriorityofrequirements.
DomainKnowledge:knowledgeandexpertiseofthebusinessdomain
neededtosupportprioritization.
GovernanceApproach:outlinestheapproachforprioritizingrequirements.
RequirementsArchitecture:utilizedtounderstandtherelationshipwith
otherrequirementsandworkproducts.
89
Prioritizationisanassessmentofrelativevalue.Eachstakeholdermayvalue
somethingdifferent.Whenthisoccurs,theremaybeconflictamongst
stakeholders.Stakeholdersmayalsohavedifficultycharacterizingany
requirementasalowerpriority,andthismayimpacttheabilitytomakenecessary
tradeoffs.Inaddition,stakeholdersmay(intentionallyorunintentionally)indicate
prioritytoinfluencetheresulttotheirdesiredoutcome.
RequirementsManagementTools/Repository:includingarequirements
attributeforprioritizationcanhelpthebusinessanalysttosortandaccess
requirementsbypriority.
SolutionScope:consideredwhenprioritizingrequirementstoensurescopeis
managed.
5.3.6
Techniques
BacklogManagement:usedtocomparerequirementstobeprioritized.The
backlogcanbethelocationwheretheprioritizationismaintained.
BusinessCases:usedtoassessrequirementsagainstidentifiedbusinessgoals
andobjectivestodetermineimportance.
DecisionAnalysis:usedtoidentifyhighvaluerequirements.
Estimation:usedtoproduceestimatesforthebasisofprioritization.
FinancialAnalysis:usedtoassessthefinancialvalueofasetofrequirements
andhowthetimingofdeliverywillaffectthatvalue.
Interviews:usedtogainanunderstandingofasingleorsmallgroupof
stakeholders'basisofprioritizationorpriorities.
ItemTracking:usedtotrackissuesraisedbystakeholdersduringprioritization.
Prioritization:usedtofacilitatetheprocessofprioritization.
RiskAnalysisandManagement:usedtounderstandtherisksforthebasisof
prioritization.
Workshops:usedtogainanunderstandingofstakeholders'basisof
prioritizationorprioritiesinafacilitatedgroupsetting.
5.3.7
Stakeholders
Customer:verifiesthattheprioritizedrequirementswilldelivervaluefroma
customerorenduserperspective.Thecustomercanalsonegotiatetohavethe
prioritizationchangedbasedonrelativevalue.
EndUser:verifiesthattheprioritizedrequirementswilldelivervaluefroma
customerorenduserperspective.
ImplementationSubjectMatterExpert:providesinputrelatingtotechnical
dependenciesandcannegotiatetohavetheprioritizationchangedbasedon
technicalconstraints.
ProjectManager:usestheprioritizationasinputintotheprojectplanandinto
theallocationofrequirementstoreleases.
Regulator:canverifythattheprioritizationisconsistentwithlegaland
regulatoryconstraints.
Sponsor:verifiesthattheprioritizedrequirementswilldelivervaluefroman
organizationalperspective.
90
5.3.8
AssessRequirementsChanges
Outputs
Requirements(prioritized):prioritizedorrankedrequirementsareavailable
foradditionalwork,ensuringthatthehighestvaluedrequirementsare
addressedfirst.
Designs(prioritized):prioritizedorrankeddesignsareavailableforadditional
work,ensuringthatthehighestvalueddesignsareaddressedfirst.
5.4
5.4.1
Purpose
5.4.2
Description
TheAssessRequirementsChangestaskisperformedasnewneedsorpossible
solutionsareidentified.Thesemayormaynotaligntothechangestrategyand/
orsolutionscope.Assessmentmustbeperformedtodeterminewhethera
proposedchangewillincreasethevalueofthesolution,andifso,whataction
shouldbetaken.
Businessanalystsassessthepotentialeffectofthechangetosolutionvalue,and
whetherproposedchangesintroduceconflictswithotherrequirementsor
increasethelevelofrisk.Businessanalystsalsoensureeachproposedchangecan
betracedbacktoaneed.
Whenassessingchanges,businessanalystsconsiderifeachproposedchange:
alignswiththeoverallstrategy,
affectsvaluedeliveredtothebusinessorstakeholdergroups,
impactsthetimetodeliverortheresourcesrequiredtodeliverthevalue,
and
altersanyrisks,opportunities,orconstraintsassociatedwiththeoverall
initiative.
Theresultsoftheassessmentmustsupportthedecisionmakingandchange
controlapproachesdefinedbythetaskPlanBusinessAnalysisGovernance(p.37).
5.4.3
Inputs
ProposedChange:canbeidentifiedatanytimeandimpactanyaspectof
businessanalysisworkordeliverablescompletedtodate.Therearemany
triggersforaproposedchangeincludingbusinessstrategychanges,
stakeholders,legalrequirements,orregulatorychanges.
91
ThepurposeofAssessRequirementsChangesistoevaluatetheimplicationsof
proposedchangestorequirementsanddesigns.
Requirements:mayneedtobeassessedtoidentifytheimpactofaproposed
modification.
Designs:mayneedtobeassessedtoidentifytheimpactofaproposed
modification.
Figure5.4.1:AssessRequirementsChangesInput/OutputDiagram
GuidelinesandTools
Input
ChangeStrategy
Requirements
Designs
ProposedChange
DomainKnowledge
GovernanceApproach
5.4
Legal/Regulatory
Information
Output
5.1
Requirements
Change
Assessment
SolutionScope
5.4.4
5.1
DesignsChange
Assessment
Elements
.1 AssessmentFormality
Businessanalystswilldeterminetheformalityoftheassessmentprocessbasedon
theinformationavailable,theapparentimportanceofthechange,andthe
governanceprocess.Manyproposedchangesmaybewithdrawnfrom
considerationordeclinedbeforeanyformalapprovalisrequired.Apredictive
approachmayindicateamoreformalassessmentofproposedchanges.In
predictiveapproaches,theimpactofeachchangecanbedisruptivethechange
canpotentiallygenerateasubstantialreworkingoftasksandactivitiescompleted
inpreviousactivities.Anadaptiveapproachmayrequirelessformalityinthe
assessmentofproposedchanges.Whiletheremaybereworkingneededasa
resultofeachchange,adaptiveapproachestrytominimizetheimpactofchanges
byutilizingiterativeandincrementalimplementationtechniques.Thisideaof
continuousevolutionmayreducetheneedforformalimpactassessment.
.2 ImpactAnalysis
Impactanalysisisperformedtoassessorevaluatetheeffectofachange.
Traceabilityisausefultoolforperformingimpactanalysis.Whenarequirement
92
changes,itsrelationshipstootherrequirementsorsolutioncomponentscanbe
reviewed.Eachrelatedrequirementorcomponentmayalsorequireachangeto
supportthenewrequirement.
Whenconsideringchangesoradditionstoexistingrequirements,business
analystsassesstheimpactoftheproposedchangebyconsidering:
Benefit:thebenefitthatwillbegainedbyacceptingthechange.
Cost:thetotalcosttoimplementthechangeincludingthecosttomake
thechange,thecostofassociatedrework,andtheopportunitycostssuch
asthenumberofotherfeaturesthatmayneedtobesacrificedordeferred
ifthechangeisapproved.
Impact:thenumberofcustomersorbusinessprocessesaffectedifthe
changeisaccepted.
Urgency:thelevelofimportanceincludingthefactorswhichdrive
necessitysuchasregulatororsafetyissues.
.3 ImpactResolution
Dependingontheplannedapproach,variousstakeholders(includingthebusiness
analyst)maybeauthorizedtoapprove,deny,ordefertheproposedchange.All
impactsandresolutionsresultingfromthechangeanalysisaretobedocumented
andcommunicatedtoallstakeholders.Howdecisionsandchangeswillbemade
andcommunicatedacrossaninitiativeisdeterminedbythetaskPlanBusiness
AnalysisGovernance(p.37).
5.4.5
GuidelinesandTools
ChangeStrategy:describesthepurposeanddirectionforchanges,establishes
thecontextforthechange,andidentifiesthecriticalcomponentsforchange.
DomainKnowledge:knowledgeofandexpertiseinthebusinessdomainis
neededtoassessproposedrequirementschanges.
GovernanceApproach:providesguidanceregardingthechangecontroland
decisionmakingprocesses,aswellastherolesofstakeholderswithinthis
process.
mustbefollowed.Thesemayimpactrequirementsandmustbeconsidered
whenmakingchanges.
RequirementsArchitecture:requirementsmayberelatedtoeachother,
thereforethebusinessanalystexaminesandanalyzestherequirement
relationshipstodeterminewhichrequirementswillbeimpactedbyarequested
requirementschange.
SolutionScope:mustbeconsideredwhenassessingchangestofully
understandtheimpactofaproposedchange.
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Schedule:theimpacttotheexistingdeliverycommitmentsifthechangeis
approved.
5.4.6
Techniques
BusinessCases:usedtojustifyaproposedchange.
BusinessRulesAnalysis:usedtoassesschangestobusinesspoliciesand
businessrules,anddeveloprevisedguidance.
DecisionAnalysis:usedtofacilitatethechangeassessmentprocess.
DocumentAnalysis:usedtoanalyzeanyexistingdocumentsthatfacilitatean
understandingoftheimpactofthechange.
Estimation:usedtodeterminethesizeofthechange.
FinancialAnalysis:usedtoestimatethefinancialconsequencesofaproposed
change.
InterfaceAnalysis:usedtohelpbusinessanalystsidentifyinterfacesthatcan
beaffectedbythechange.
Interviews:usedtogainanunderstandingoftheimpactontheorganization
oritsassetsfromasingleorsmallgroupofstakeholders.
ItemTracking:usedtotrackanyissuesorconflictsdiscoveredduringimpact
analysis.
RiskAnalysisandManagement:usedtodeterminethelevelofrisk
associatedwiththechange.
Workshops:usedtogainanunderstandingoftheimpactortoresolve
changesinagroupsetting.
5.4.7
Stakeholders
Customer:providesfeedbackconcerningtheimpactthechangewillhaveon
value.
DomainSubjectMatterExpert:hasexpertiseinsomeaspectofthesituation
andcanprovideinsightintohowthechangewillimpacttheorganizationand
value.
EndUser:usesthesolutionorisacomponentofthesolution,andcanoffer
informationabouttheimpactofthechangeontheiractivities.
OperationalSupport:providesinformationonboththeirabilitytosupport
theoperationofthesolutionandtheirneedtounderstandthenatureofthe
changeinthesolutioninordertobeabletosupportit.
ProjectManager:reviewstherequirementschangeassessmenttodetermineif
additionalprojectworkisrequiredforasuccessfulimplementationofthe
solution.
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ApproveRequirements
Regulator:changesarelikelytobereferencedbyauditorstoconfirm
compliancetostandards.
Sponsor:accountableforthesolutionscopeandcanprovideinsighttobe
utilizedwhenassessingchange.
Tester:consultedforestablishingimpactoftheproposedchanges.
5.4.8
Outputs
RequirementsChangeAssessment:therecommendationtoapprove,
modify,ordenyaproposedchangetorequirements.
DesignsChangeAssessment:therecommendationtoapprove,modify,or
denyaproposedchangetooneormoredesigncomponents.
5.5.1
ApproveRequirements
Purpose
ThepurposeofApproveRequirementsistoobtainagreementonandapprovalof
requirementsanddesignsforbusinessanalysisworktocontinueand/orsolution
constructiontoproceed.
5.5.2
Description
Businessanalystsareresponsibleforensuringclearcommunicationof
requirements,designs,andotherbusinessanalysisinformationtothekey
stakeholdersresponsibleforapprovingthatinformation.
Approvalofrequirementsanddesignsmaybeformalorinformal.Predictive
approachestypicallyperformapprovalsattheendofthephaseorduringplanned
changecontrolmeetings.Adaptiveapproachestypicallyapproverequirements
onlywhenconstructionandimplementationofasolutionmeetingthe
requirementcanbegin.Businessanalystsworkwithkeystakeholderstogain
consensusonnewandchangedrequirements,communicatetheoutcomeof
discussions,andtrackandmanagetheapproval.
5.5.3
Inputs
Requirements(verified):asetofrequirementsthathavebeenverifiedtobe
ofsufficientqualitytobeusedasareliablebodyofworkforfurther
specificationanddevelopment.
Designs:asetofdesignsthathavebeendeterminedasreadytobeusedfor
furtherspecificationanddevelopment.
95
5.5
ApproveRequirements
Figure5.5.1:ApproveRequirementsInput/OutputDiagram
Oncea
requirementhas
beenapproved,it
isafinalized
businessanalysis
workproduct,
andis
implemented.
Input
GuidelinesandTools
Requirements
(verified)
ChangeStrategy
GovernanceApproach
5.5
ApproveRequirements
Legal/Regulatory
Information
Tools/Repository
Designs
Output
SolutionScope
5.5
Requirements
(approved)
5.5.4
5.5
Designs
(approved)
Elements
.1 UnderstandStakeholderRoles
TheapprovalprocessisdefinedbythetaskPlanBusinessAnalysisGovernance
(p.37).Partofdefiningtheapprovalprocessisunderstandingstakeholderroles
andauthoritylevels.Businessanalystsareresponsibleforobtainingstakeholder
approvalsandarerequiredtounderstandwhoholdsdecisionmaking
responsibilityandwhopossessesauthorityforsignoffacrosstheinitiative.
Businessanalystsalsoconsideranyinfluentialstakeholderswhoshouldbe
consultedorinformedabouttherequirements.Fewstakeholdersmayhavethe
authoritytoapproveordenychanges,butmanystakeholdersmaybeableto
influencethesedecisions.
.2 ConflictandIssueManagement
Tomaintainstakeholdersupportforthesolution,consensusamongstakeholders
isusuallysoughtpriortorequestingapprovalofrequirements.Theapproachfor
determininghowtosecuredecisionsandresolveconflictsacrossaninitiativeis
plannedforinthetaskPlanBusinessAnalysisGovernance(p.37).
Stakeholdergroupsfrequentlyhavevaryingpointsofviewandconflicting
priorities.Aconflictmayariseamongstakeholdersasaresultofdifferent
interpretationsofrequirementsordesignsandconflictingvaluesplacedonthem.
Thebusinessanalystfacilitatescommunicationbetweenstakeholdersinareasof
conflictsothateachgrouphasanimprovedappreciationfortheneedsofthe
others.Conflictresolutionandissuemanagementmayoccurquiteoften,asthe
businessanalystisreviewingrequirementsanddesigns,andaimingtosecure
signoff.
96
ApproveRequirements
.3 GainConsensus
Businessanalystsareresponsibleforensuringthatthestakeholderswithapproval
authorityunderstandandaccepttherequirements.Approvalmayconfirmthat
stakeholdersbelievethatsufficientvaluewillbecreatedfortheorganizationto
justifyinvestmentinasolution.Businessanalystsobtainapprovalbyreviewingthe
requirementsorchangestorequirementswiththeaccountableindividualsor
groupsandrequestingthattheyapprove,indicatingtheiragreementwiththe
solutionordesignsdescribed.
UsingthemethodsandmeansestablishedinthetasksPlanBusinessAnalysis
Governance(p.37)andCommunicateBusinessAnalysisInformation(p.67)
businessanalystspresenttherequirementstostakeholdersforapproval.Business
analystsfacilitatethisapprovalprocessbyaddressinganyquestionsorproviding
additionalinformationwhenrequested.
.4 TrackandCommunicateApproval
Thebusinessanalystrecordsapprovaldecisions,possiblyinrequirements
maintenanceandtrackingtools.Inordertocommunicatethestatusof
requirements,itisnecessarytokeepaccuraterecordsofcurrentapprovalstatus.
Stakeholdersmustbeabletodeterminewhatrequirementsanddesignsare
currentlyapprovedandinlineforimplementation.Theremaybevaluein
maintaininganaudithistoryofchangestorequirements:whatwaschanged,
whomadethechange,thereasonforthechange,andwhenitwasmade.
5.5.5
GuidelinesandTools
ChangeStrategy:providesinformationwhichassistsinmanagingstakeholder
consensusregardingtheneedsofallstakeholders.
GovernanceApproach:identifiesthestakeholderswhohavetheauthority
andresponsibilitytoapprovebusinessanalysisinformation,andexplainswhen
suchapprovalswilltakeplaceandhowtheywillaligntoorganizationalpolicies.
mustbefollowed.Theymayimpacttherequirementsanddesignsapproval
process.
RequirementManagementTools/Repository:tooltorecordrequirements
approvals.
SolutionScope:mustbeconsideredwhenapprovingrequirementsto
accuratelyassessalignmentandcompleteness.
5.5.6
Techniques
AcceptanceandEvaluationCriteria:usedtodefineapprovalcriteria.
97
Completeagreementmaynotbenecessaryforasuccessfulchange,butifthereis
alackofagreement,theassociatedrisksaretobeidentifiedandmanaged
accordingly.
ApproveRequirements
DecisionAnalysis:usedtoresolveissuesandgainagreement.
ItemTracking:usedtotrackissuesidentifiedduringtheagreementprocess.
Reviews:usedtoevaluaterequirements.
Workshops:usedtofacilitateobtainingapproval.
5.5.7
Stakeholders
Customer:mayplayanactiveroleinreviewingandapprovingrequirements
anddesignstoensureneedsaremet.
DomainSubjectMatterExpert:maybeinvolvedinthereviewandapproval
ofrequirementsanddesignsasdefinedbystakeholderrolesandresponsibilities
designation.
EndUser:peoplewhousethesolution,orwhoareasolutioncomponent,and
maybeinvolvedinthereview,validation,andprioritizationofrequirementsand
designsasdefinedbythestakeholderrolesandresponsibilitiesdesignation.
OperationalSupport:responsibleforensuringthatrequirementsanddesigns
aresupportablewithintheconstraintsimposedbytechnologystandardsand
organizationalcapabilityplans.Operationalsupportpersonnelmayhavearole
inreviewingandapprovingrequirements.
ProjectManager:responsibleforidentifyingandmanagingrisksassociated
withsolutiondesign,development,delivery,implementation,operationand
sustainment.Theprojectmanagermaymanagetheprojectplanactivities
pertainingtoreviewand/orapproval.
Regulator:externalorinternalpartywhoisresponsibleforprovidingopinions
ontherelationshipbetweenstatedrequirementsandspecificregulations,either
formallyinanaudit,orinformallyasinputstorequirementslifecycle
managementtasks.
Sponsor:responsibletoreviewandapprovethebusinesscase,solutionor
productscope,andallrequirementsanddesigns.
Tester:responsibleforensuringqualityassurancestandardsarefeasiblewithin
thebusinessanalysisinformation.Forexample,requirementshavethetestable
characteristic.
5.5.8
Outputs
Requirements(approved):requirementswhichareagreedtobystakeholders
andarereadyforuseinsubsequentbusinessanalysisefforts.
Designs(approved):designswhichareagreedtobystakeholdersandare
readyforuseinsubsequentbusinessanalysisorsolutiondevelopmentefforts.
98
Strategydefinesthemosteffectivewaytoapplythecapabilitiesofanenterprise
inordertoreachadesiredsetofgoalsandobjectives.Strategiesmayexistforthe
entireenterprise,foradivision,departmentorregion,andforaproduct,project,
oriteration.
TheStrategyAnalysisknowledgeareadescribesthebusinessanalysisworkthat
mustbeperformedtocollaboratewithstakeholdersinordertoidentifyaneedof
strategicortacticalimportance(thebusinessneed),enabletheenterpriseto
addressthatneed,andaligntheresultingstrategyforthechangewithhigher
andlowerlevelstrategies.
Strategyanalysisfocusesondefiningthefutureandtransitionstatesneededto
addressthebusinessneed,andtheworkrequiredisdefinedbothbythatneed
andthescopeofthesolutionspace.Itcoversstrategicthinkinginbusiness
analysis,aswellasthediscoveryorimaginingofpossiblesolutionsthatwill
enabletheenterprisetocreategreatervalueforstakeholders,and/orcapture
morevalueforitself.
Strategyanalysisprovidescontexttorequirementsanalysisanddesigndefinition
foragivenchange.Strategyanalysisshouldbeperformedasabusinessneedis
identified.Thisallowsstakeholderstomakethedeterminationofwhetherto
addressthatneedornot.Strategyanalysisisanongoingactivitythatassessesany
changesinthatneed,initscontext,oranynewinformationthatmayindicate
thatanadjustmenttothechangestrategymayberequired.
Thefollowingimageillustratesthespectrumofvalueasbusinessanalysis
activitiesprogressfromdeliveringpotentialvaluetoactualvalue.
99
StrategyAnalysis
StrategyAnalysis
Figure6.0.1:BusinessAnalysisValueSpectrum
StrategyAnalysis
Potential
Need
Solution
Scope
RequirementsAnalysis
&DesignDefinition
SolutionEvaluation
Requirements
ProofofConcept/
Pilot/Beta
Prototype
Design
Actual
Operating
Whenperformingstrategyanalysis,businessanalystsmustconsiderthecontext
inwhichtheyareworking,andhowpredictabletherangeofpossibleoutcomes
is.Whenachangewillhaveapredictableoutcome,thefuturestateandpossible
transitionstatescantypicallybeclearlydefined,andaclearstrategycanbe
plannedout.Iftheoutcomeofachangeisdifficulttopredict,thestrategymay
needtofocusmoreonmitigatingrisk,testingassumptions,andchangingcourse
untilastrategythatwillsucceedinreachingthebusinessgoalscanbeidentified
oruntiltheinitiativehasended.Thesetasksmaybeperformedinanyorder,
thoughtheyareoftenperformedconcurrently,asstrategymustbeshapedby
whatisactuallyachievable.
Astrategymaybecapturedinastrategicplan,productvision,businesscase,
productroadmap,orotherartifacts.
TheStrategyAnalysisknowledgeareaincludesthefollowingtasks:
AnalyzeCurrentState:understandsthebusinessneedandhowitrelates
tothewaytheenterprisefunctionstoday.Setsabaselineandcontextfor
change.
DefineFutureState:definesgoalsandobjectivesthatwilldemonstrate
thatthebusinessneedhasbeensatisfiedanddefineswhatpartsofthe
enterpriseneedtochangeinordertomeetthosegoalsandobjectives.
AssessRisks:understandstheuncertaintiesaroundthechange,considers
theeffectthoseuncertaintiesmayhaveontheabilitytodelivervalue
throughachange,andrecommendsactionstoaddressriskswhere
appropriate.
DefineChangeStrategy:performsagapanalysisbetweencurrentand
futurestate,assessesoptionsforachievingthefuturestate,and
recommendsthehighestvalueapproachforreachingthefuturestate
includinganytransitionstatesthatmayberequiredalongtheway.
100
StrategyAnalysis
TheCoreConceptModelinStrategyAnalysis
usageandapplicationofeachofthecoreconceptswithinthecontextofStrategy
Analysis.
Table6.0.1:TheCoreConceptModelinStrategyAnalysis
DuringStrategyAnalysis,business
analysts...
inresponsetoaneed.
definethefuturestateanddevelopa
changestrategytoachievethefuture
state.
beaddressed.
identifyneedswithinthecurrentstateand
prioritizeneedstodeterminethedesired
futurestate.
context.
definethescopeofasolutionaspartof
developingachangestrategy.
solution.
collaboratewithstakeholdersto
understandthebusinessneedandto
developachangestrategyandfuture
statethatwillmeetthoseneeds.
stakeholderinacontext.
examinethepotentialvalueofthe
solutiontodetermineifachangeis
justified.
change.
considerthecontextoftheenterprisein
developingachangestrategy.
101
CoreConcept
StrategyAnalysis
Figure6.0.2:StrategyAnalysisInput/OutputDiagram
Input
Influences
(internal,external)
Needs
4.2
ElicitationResults
(unconfirmed)
4.3
ElicitationResults
(confirmed)
3.2
Stakeholder
Engagement
Approach
5.3
Designs
(prioritized)
5.3
Requirements
(prioritized)
Tasks
6.1
AnalyzeCurrent
State
6.2
DefineFutureState
6.3
AssessRisks
6.4
DefineChange
Strategy
Output
6.1
CurrentState
Description
6.1
Business
Requirements
6.2
BusinessObjectives
6.2
FutureState
Description
6.2
PotentialValue
6.3
RiskAnalysisResults
6.4
ChangeStrategy
102
6.4
SolutionScope
StrategyAnalysis
6.1
6.1.1
AnalyzeCurrentState
AnalyzeCurrentState
Purpose
ThepurposeofAnalyzeCurrentStateistounderstandthereasonswhyan
enterpriseneedstochangesomeaspectofhowitoperatesandwhatwouldbe
directlyorindirectlyaffectedbythechange.
6.1.2
Description
Changealwaysoccursinacontextofexistingstakeholders,processes,
technology,andpolicieswhichconstitutethecurrentstateoftheenterprise.
Businessanalystsexaminethecurrentstateinthecontextofthebusinessneedto
understandwhatmayinfluenceproposedchanges,andwhatwillbeaffectedby
them.Thecurrentstateisexploredinjustenoughdetailtovalidatetheneedfor
achangeand/orthechangestrategy.Understandingthecurrentstateofthe
enterprisepriortothechangeisnecessarytoidentifywhatwillneedtochangeto
achieveadesiredfuturestateandhowtheeffectofthechangewillbeassessed.
Thescopeofthecurrentstatedescribestheimportantexistingcharacteristicsof
theenvironment.Theboundariesofthecurrentstatescopearedeterminedby
thecomponentsoftheenterpriseanditsenvironmentastheyrelatetotheneeds.
Thecurrentstatecanbedescribedondifferentlevels,rangingfromtheentire
enterprisetosmallcomponentsofasolution.Creatingamodelofthecurrent
statemightrequirecollaborationthroughoutoroutsidetheenterprise.Forsmall
efforts,thescopemightbeonlyasmallcomponentofanenterprise.
Thecurrentstateofanenterpriseisrarelystaticwhileachangeisbeing
developedandimplemented.Internalandexternalinfluencers,aswellasother
organizationalchanges,canaffectthecurrentstateinwaysthatforcealterations
inthedesiredfuturestate,changestrategy,orrequirementsanddesigns.
6.1.3
Inputs
ElicitationResults:usedtodefineandunderstandthecurrentstate.
Needs:theproblemoropportunityfacedbyanenterpriseororganizationoften
launchesbusinessanalysisworktobetterunderstandtheseneeds.
103
Thestartingpointforanychangeisanunderstandingofwhythechangeis
needed.Potentialchangeistriggeredbyproblemsoropportunitiesthatcannot
beaddressedwithoutalteringthecurrentstate.Businessanalystsworktohelp
stakeholdersenablechangebyexploringandarticulatingthebusinessneedsthat
drivethedesiretochange.Withoutclearlyunderstoodbusinessneeds,itis
impossibletodevelopacoherentstrategy,andtheresultingchangeinitiativeis
almostcertaintobedrivenbyamixofconflictingstakeholderdemands.
AnalyzeCurrentState
StrategyAnalysis
Figure6.1.1:AnalyzeCurrentStateInput/OutputDiagram
GuidelinesandTools
Input
Needs
EnterpriseLimitation
4.3
ElicitationResults
(confirmed)
OrganizationalStrategy
Task
6.1AnalyzeCurrentState
SolutionLimitation
Output
SolutionPerformanceGoals
SolutionPerformance
Measures
6.1
CurrentState
Description
StakeholderAnalysis
Results
3.2
PlanStakeholder
Engagement
3.3
PlanBusiness
Analysis
Governance
6.2
DefineFutureState
6.3
AssessRisks
6.4
DefineChange
Strategy
AnalyzePotential
Valueand
Recommend
Solution
8.4
AssessEnterprise
Limitations
6.1.4
6.1Business
Requirements
6.2
DefineFutureState
7.6
8.5
Recommend
ActionstoIncrease
SolutionValue
Elements
.1 BusinessNeeds
Businessneedsaretheproblemsandopportunitiesofstrategicimportancefaced
bytheenterprise.Anissueencounteredintheorganization,suchasacustomer
complaint,alossofrevenue,oranewmarketopportunity,usuallytriggersthe
evaluationofabusinessneed.
104
StrategyAnalysis
AnalyzeCurrentState
Abusinessneedmaybeidentifiedatmanydifferentlevelsoftheenterprise:
Fromthetopdown:astrategicgoalthatneedstobeachieved.
Fromthebottomup:aproblemwiththecurrentstateofaprocess,
functionorsystem.
Frommiddlemanagement:amanagerneedsadditionalinformationto
makesounddecisionsormustperformadditionalfunctionstomeet
businessobjectives.
Fromexternaldrivers:customerdemandorbusinesscompetitioninthe
marketplace.
Businessneedsareoftenidentifiedorexpressedalongwithapresumedsolution.
Thebusinessanalystshouldquestiontheassumptionsandconstraintsthatare
generallyburiedinthestatementoftheissuetoensurethatthecorrectproblem
isbeingsolvedandthewidestpossiblerangeofalternativesolutionsare
considered.
Asolutiontoasetofbusinessneedsmusthavethepotentialtogeneratebenefits
fortheenterpriseoritsstakeholders,oravoidlossesthatwouldotherwiseoccur.
Factorsthebusinessanalystmayconsiderinclude:
adverseimpactstheproblemiscausingwithintheorganizationand
quantifythoseimpacts(forexample,potentiallostrevenue,inefficiencies,
dissatisfiedcustomers,lowemployeemorale),
expectedbenefitsfromanypotentialsolution(forexample,increased
revenue,reducedcosts,increasedmarketshare),
howquicklytheproblemcouldpotentiallyberesolvedortheopportunity
couldbetaken,andthecostofdoingnothing,and
theunderlyingsourceoftheproblem.
Businessneedswilldrivetheoverallanalysisofthecurrentstate.Althoughitisnt
necessarytofullydetailallaspectsofthecurrentstatebeforefurtherdeveloping
thechangestrategy,thisexplorationwilloftenuncoverdeeperunderlyingcauses
oftheproblemortheopportunitythattriggeredtheinvestigation(whichthen
becomeadditionalbusinessneeds).
.2 OrganizationalStructureandCulture
Organizationalstructuredefinestheformalrelationshipsbetweenpeople
workingintheenterprise.Whilecommunicationchannelsandrelationshipsare
notlimitedtothatstructure,theyareheavilyinfluencedbyit,andthereporting
structuremayaidorlimitapotentialchange.
105
Thedefinitionofbusinessneedsisfrequentlythemostcriticalstepinanybusiness
analysiseffort.Asolutionmustsatisfythebusinessneedstobeconsidered
successful.Thewaytheneedisdefineddetermineswhichalternativesolutions
willbeconsidered,whichstakeholderswillbeconsulted,andwhichsolution
approacheswillbeevaluated.Businessneedsarealwaysexpressedfromthe
perspectiveoftheenterprise,andnotthatofanyparticularstakeholder.
AnalyzeCurrentState
StrategyAnalysis
Organizationalcultureisthebeliefs,values,andnormssharedbythemembersof
anorganization.Thesebeliefsdrivetheactionstakenbyanorganization.
Businessanalystsperformaculturalassessmentto:
identifyifculturalchangesarerequiredtobetterachievethegoals,
identifywhetherstakeholdersunderstandtherationaleforthecurrentstate
oftheenterpriseandthevaluedeliveredbyit,and
ascertainwhetherthestakeholdersviewthecurrentstateassatisfactoryor
ifchangeisneeded.
.3 CapabilitiesandProcesses
Capabilitiesandprocessesdescribetheactivitiesanenterpriseperforms.Theyalso
includetheknowledgetheenterprisehas,theproductsandservicesitprovides,
thefunctionsitsupports,andthemethodsitusestomakedecisions.Core
capabilitiesorprocessesdescribetheessentialfunctionsoftheenterprisethat
differentiateitfromothers.Theyaremeasuredbyperformanceindicatorsthat
canbeusedtoassessthebenefitsofachange.
Businessanalystsmayuse:
Acapabilitycentricviewoftheenterprisewhenlookingforinnovative
solutionsthatcombineexistingcapabilitiestoproduceanewoutcome.A
capabilitybasedviewisusefulinthissituationbecausecapabilitiesare
generallyorganizedinafunctionalhierarchywithrelationshipstoother
capabilities,makingiteasiertoidentifyanygaps.
Aprocesscentricviewoftheenterprisewhenlookingforwaystoimprove
theperformanceofcurrentactivities.Aprocessbasedviewisusefulinthis
situationbecauseprocessesareorganizedinanendtoendfashionacross
theenterprisetodelivervaluetoitscustomers,makingiteasiertoensure
thatachangedoesinfactincreaseperformance.
.4 TechnologyandInfrastructure
Informationsystemsusedbytheenterprisesupportpeopleinexecuting
processes,makingdecisions,andininteractionswithsuppliersandcustomers.
Theinfrastructuredescribestheenterprisesenvironmentwithrespecttophysical
componentsandcapabilities.Theinfrastructurecanincludecomponentssuchas
computerhardware,physicalplants,andlogistics,aswellastheiroperationand
upkeep.
.5 Policies
Policiesdefinethescopeofdecisionmakingatdifferentlevelsofanenterprise.
Theygenerallyaddressroutineoperationsratherthanstrategicchange.They
ensurethatdecisionsaremadecorrectly,provideguidancetostaffonpermitted
andappropriatebehaviourandactions,supportgovernance,anddetermine
whenandhownewresourcescanbeacquired.Identificationofrelevantpolicies
mayshapethescopeofthesolutionspaceandmaybeaconstraintonthetypes
106
StrategyAnalysis
AnalyzeCurrentState
ofactionthatcanbepursued.
.6 BusinessArchitecture
Nopartofthecurrentstateshouldbeassessedincompleteisolationfromthe
rest.Businessanalystsmustunderstandhowalloftheseelementsofthecurrent
statefittogetherandsupportoneanotherinordertorecommendchangesthat
willbeeffective.Theexistingbusinessarchitecturetypicallymeetsanassortment
ofbusinessandstakeholderneeds.Ifthoseneedsarenotrecognizedordonot
continuetobemetbyaproposedtransitionorfuturestate,changesarelikelyto
resultinalossofvalue.
.7 InternalAssets
.8 ExternalInfluencers
Thereareexternalinfluencesontheenterprisethatdonotparticipateinachange
butmightpresentconstraints,dependencies,ordriversonthecurrentstate.
Sourcesofexternalinfluenceinclude:
IndustryStructure:individualindustrieshavedistinctwaysinwhichvalue
iscreatedwithinthatindustry.Thisisaparticularlyimportantinfluencerifa
proposedchangeinvolvesenteringanewindustry.
Competitors:thenatureandintensityofcompetitorsbetweenenterprises
withinanindustrycanbesignificant.Theentryofanewcompetitormay
alsochangethenatureoftheindustryorincreasecompetition.
Customers:thesizeandnatureofexistingandpotentialcustomer
segmentscanprovideinfluencessuchasnegotiatingpowerandadegreeof
pricesensitivity.Alternatively,theemergenceofnewalternativewaysthat
customerscanmeettheirneedsmaydrivetheenterprisetodelivergreater
value.
Suppliers:thevarietyanddiversityofsuppliersmightbeaninfluencer,as
canthepowerthatsuppliershaveovertheircustomers.
PoliticalandRegulatoryEnvironment:thereisofteninfluencefromthe
currentandpotentialimpactoflawsandregulationsupontheindustry.
Technology:theproductivityenhancingpotentialofrecentandexpected
technologicalinnovationsmightinfluencetheneed.
MacroeconomicFactors:theconstraintsandopportunitiesthatexist
withintheexistingandexpectedmacroeconomicenvironment(for
example,trade,unemployment,orinflation)mightinfluencetheneed.
Someofthesesourcesmightusedifferentterminology,basedonwhetherthe
enterpriseisaforprofitcorporation,anonprofitenterprise,oragovernment
agency.Forexample,acountrydoesnothavecustomersithascitizens.
107
Businessanalystsidentifyenterpriseassetsusedinthecurrentstate.Resources
canbetangibleorintangible,suchasfinancialresources,patents,reputation,and
brandnames.
AnalyzeCurrentState
6.1.5
StrategyAnalysis
GuidelinesandTools
BusinessAnalysisApproach:guideshowthebusinessanalystundertakesan
analysisofthecurrentstate.
EnterpriseLimitation:usedtounderstandthechallengesthatexistwithinthe
enterprise.
OrganizationalStrategy:anorganizationwillhaveasetofgoalsand
objectiveswhichguidesoperations,establishesdirection,andprovidesavision
forthefuturestate.Thiscanbeimplicitlyorexplicitlystated.
SolutionLimitation:usedtounderstandthecurrentstateandthechallenges
ofexistingsolutions.
SolutionPerformanceGoals:measurethecurrentperformanceofan
enterpriseorsolution,andserveasabaselineforsettingfuturestategoalsand
measuringimprovement.
SolutionPerformanceMeasures:describetheactualperformanceofexisting
solutions.
StakeholderAnalysisResults:stakeholdersfromacrosstheorganizationwill
contributetoanunderstandingandanalysisofthecurrentstate.
6.1.6
Techniques
BenchmarkingandMarketAnalysis:providesanunderstandingofwhere
thereareopportunitiesforimprovementinthecurrentstate.Specific
frameworksthatmaybeusefulinclude5Forcesanalysis,PEST,STEEP,CATWOE,
andothers.
BusinessCapabilityAnalysis:identifiesgapsandprioritizestheminrelation
tovalueandrisk.
BusinessModelCanvas:providesanunderstandingofthevalueproposition
thattheenterprisesatisfiesforitscustomers,thecriticalfactorsindelivering
thatvalue,andtheresultingcostandrevenuestreams.Helpfulfor
understandingthecontextforanychangeandidentifyingtheproblemsand
opportunitiesthatmayhavethemostsignificantimpact.
BusinessCases:usedtocaptureinformationregardingthebusinessneedand
opportunity.
ConceptModelling:usedtocapturekeytermsandconceptsinthebusiness
domainanddefinetherelationshipsbetweenthem.
DataMining:usedtoobtaininformationontheperformanceofthe
enterprise.
DocumentAnalysis:analyzesanyexistingdocumentationaboutthecurrent
state,including(butnotlimitedto)documentscreatedduringthe
implementationofasolution,trainingmanuals,issuereports,competitor
information,supplieragreements,publishedindustrybenchmarks,published
technologytrends,andperformancemetrics.
108
StrategyAnalysis
AnalyzeCurrentState
FinancialAnalysis:usedtounderstandtheprofitabilityofthecurrentstate
andthefinancialcapabilitytodeliverchange.
FocusGroups:solicitsfeedbackfromcustomersorendusersaboutthecurrent
state.
FunctionalDecomposition:breaksdowncomplexsystemsorrelationshipsin
thecurrentstate.
Interviews:facilitatedialoguewithstakeholderstounderstandthecurrent
stateandanyneedsevolvingfromthecurrentstate.
ItemTracking:tracksandmanagesissuesdiscoveredaboutthecurrentstate.
LessonsLearned:enablestheassessmentoffailuresandopportunitiesfor
improvementinpastinitiatives,whichmaydriveabusinessneedforprocess
improvement.
MindMapping:usedtoexplorerelevantaspectsofthecurrentstateand
betterunderstandrelevantfactorsaffectingthebusinessneed.
Observation:mayprovideopportunitiesforinsightsintoneedswithinthe
currentstatethathavenotbeenidentifiedpreviouslybyastakeholder.
OrganizationalModelling:describestheroles,responsibilities,andreporting
structuresthatexistwithinthecurrentstateorganization.
ProcessAnalysis:identifiesopportunitiestoimprovethecurrentstate.
ProcessModelling:describeshowworkoccurswithinthecurrentsolution.
RiskAnalysisandManagement:identifiesriskstothecurrentstate.
RootCauseAnalysis:providesanunderstandingoftheunderlyingcausesof
anyproblemsinthecurrentstateinordertofurtherclarifyaneed.
ScopeModelling:helpsdefinetheboundariesonthecurrentstate
description.
SurveyorQuestionnaire:helpstogainanunderstandingofthecurrentstate
fromalarge,varied,ordisparategroupofstakeholders.
SWOTAnalysis:evaluatesthestrengths,weaknesses,opportunities,and
threatstothecurrentstateenterprise.
VendorAssessment:determineswhetheranyvendorsthatarepartofthe
currentstateareadequatelymeetingcommitments,orifanychangesare
needed.
Workshops:engagestakeholderstocollaborativelydescribethecurrentstate
andtheirneeds.
109
MetricsandKeyPerformanceIndicators(KPIs):assessesperformanceof
thecurrentstateofanenterprise.
DefineFutureState
6.1.7
StrategyAnalysis
Stakeholders
Customer:makesuseoftheexistingsolutionandmighthaveinputabout
issueswithacurrentsolution.
DomainSubjectMatterExpert:hasexpertiseinsomeaspectofthecurrent
state.
EndUser:directlyusesasolutionandmighthaveinputaboutissueswitha
currentsolution.
ImplementationSubjectMatterExpert:hasexpertiseinsomeaspectofthe
currentstate.
OperationalSupport:directlyinvolvedinsupportingtheoperationsofthe
organizationandprovidesinformationontheirabilitytosupporttheoperation
ofanexistingsolution,aswellasanyknownissues.
ProjectManager:mayuseinformationoncurrentstateasinputtoplanning.
Regulator:caninforminterpretationsofrelevantregulationsthatapplytothe
currentstateintheformofbusinesspolicies,businessrules,procedures,orrole
responsibilities.Theregulatormighthaveuniqueinputtotheoperational
assessment,astheremightbenewlawsandregulationswithwhichtocomply.
Sponsor:mighthavecontextforperformanceofexistingsolutions.
Supplier:mightbeanexternalinfluencerofthecurrentstate.
Tester:abletoprovideinformationaboutissueswithanyexistingsolutions.
6.1.8
Outputs
CurrentStateDescription:thecontextoftheenterprisesscope,capabilities,
resources,performance,culture,dependencies,infrastructure,external
influences,andsignificantrelationshipsbetweentheseelements.
BusinessRequirements:theproblem,opportunity,orconstraintwhichis
definedbasedonanunderstandingofthecurrentstate.
6.2
6.2.1
DefineFutureState
Purpose
ThepurposeofDefineFutureStateistodeterminethesetofnecessaryconditions
tomeetthebusinessneed.
6.2.2
Description
Allpurposefulchangemustincludeadefinitionofsuccess.Businessanalystswork
toensurethatthefuturestateoftheenterpriseiswelldefined,thatitis
achievablewiththeresourcesavailable,andthatkeystakeholdershaveashared
110
StrategyAnalysis
DefineFutureState
consensusvisionoftheoutcome.Aswithcurrentstateanalysis,thepurposeof
futurestateanalysisisnottocreateacomprehensivedescriptionoftheoutcome
atalevelofdetailthatwilldirectlysupportimplementation.Thefuturestatewill
bedefinedatalevelofdetailthat:
allowsforcompetingstrategiestoachievethefuturestatetobeidentified
andassessed,
providesacleardefinitionoftheoutcomesthatwillsatisfythebusiness
needs,
detailsthescopeofthesolutionspace,
allowsforvalueassociatedwiththefuturestatetobeassessed,and
enablesconsensustobeachievedamongkeystakeholders.
businessprocesses,
facilities,
functions,
desktoptools,
linesofbusiness,
organizationlocations,
organizationstructures,
dataandinformation,
staffcompetencies,
applicationsystems,and/or
knowledgeandskills,
technologyinfrastructure.
training,
Descriptionsmayincludevisualmodelsandtexttoclearlyshowthescope
boundariesanddetails.Relevantrelationshipsbetweenentitiesareidentifiedand
described.Theeffortrequiredtodescribethefuturestatevariesdependingonthe
natureofthechange.Theexpectedoutcomesfromachangemightinclude
specificmetricsorlooselydefinedresults.Describingthefuturestateallows
stakeholderstounderstandthepotentialvaluethatcanberealizedfroma
solution,whichcanbeusedaspartofthedecisionmakingprocessregardingthe
changestrategy.Inenvironmentswherechangesresultinpredictableoutcomes
andpredictabledeliveryofvalue,andwheretherearealargenumberofpossible
changesthatcanincreasevalue,thepurposeoffuturestateanalysisistogather
sufficientinformationtomakethebestpossiblechoicesamongpotentialoptions.
Incaseswhereitisdifficulttopredictthevaluerealizedbyachange,thefuture
statemaybedefinedbyidentificationofappropriateperformancemeasures(to
produceanagreeduponsetofmeasuresforbusinessvalue),andthechange
strategywillsupportexplorationofmultipleoptions.
111
Thefuturestatedescriptioncanincludeanycontextabouttheproposedfuture
state.Itdescribesthenew,removed,andmodifiedcomponentsoftheenterprise.
Itcanincludechangestotheboundariesoftheorganizationitself,suchas
enteringanewmarketorperformingamergeroracquisition.Thefuturestate
canalsobesimplechangestoexistingcomponentsofanorganization,suchas
changingastepinaprocessorremovingafeaturefromanexistingapplication.
Changemaybeneededtoanycomponentoftheenterprise,including(butnot
limitedto):
DefineFutureState
StrategyAnalysis
6.2.3
Inputs
BusinessRequirements:theproblems,opportunities,orconstraintsthatthe
futurestatewilladdress.
Figure6.2.1:DefineFutureStateInput/OutputDiagram
Input
GuidelinesandTools
Constraints
Business
Requirements
MetricsandKeyPerformance
Indicators(KPIs)
6.2
DefineFutureState
OrganizationalStrategy
Output
Business
Objectives
6.2
FutureState
Description
PotentialValue
4.1
Preparefor
Elicitation
4.5
Manage
Stakeholder
Collaboration
4.5
Manage
Stakeholder
Collaboration
6.3
AssessRisks
4.1
Preparefor
Elicitation
6.3
AssessRisks
7.3
Validate
Requirements
6.4
DefineChange
Strategy
7.3
Validate
Requirements
6.3
AssessRisks
7.6
AnalyzePotential
Valueand
Recommend
Solution
8.1
MeasureSolution
Performance
7.5
DefineDesign
Options
7.6
AnalyzePotential
Valueand
Recommend
Solution
7.3
Validate
Requirements
8.4
AssessEnterprise
Limitations
8.5
Recommend
ActionstoIncrease
SolutionValue
8.1
MeasureSolution
Performance
8.2
Analyze
Performance
Measures
7.6
AnalyzePotential
Valueand
Recommend
Solution
8.4
AssessEnterprise
Limitations
112
8.2
Analyze
Performance
Measures
StrategyAnalysis
6.2.4
DefineFutureState
Elements
.1 BusinessGoalsandObjectives
Afuturestatecanbedescribedintermsofbusinessobjectivesorgoalsinorderto
guidethedevelopmentofthechangestrategyandidentifypotentialvalue.
Businessgoalsandobjectivesdescribetheendsthattheorganizationisseekingto
achieve.Goalsandobjectivescanrelatetochangesthattheorganizationwants
toaccomplish,orcurrentconditionsthatitwantstomaintain.
Goalsarelongerterm,ongoing,andqualitativestatementsofastateorcondition
thattheorganizationisseekingtoestablishandmaintain.Examplesofbusiness
goalsinclude:
Improverevenuebyincreasingsalesorreducingcost.
Increasecustomersatisfaction.
Increaseemployeesatisfaction.
Complywithnewregulations.
Improvesafety.
Reducetimetodeliveraproductorservice.
Highlevelgoalscanbedecomposedtobreakdownthegeneralstrategyinto
areasthatmayleadtodesiredresults,suchasincreasedcustomersatisfaction,
operationalexcellence,and/orbusinessgrowth.Forexample,agoalmaybeto
"increasenumberofhighrevenuecustomers"andthenbefurtherrefinedintoa
goalto"increasenumberofhighrevenuecustomersinthe3045agebracketby
30%within6months".
Asgoalsareanalyzedtheyareconvertedintomoredescriptive,granularand
specificobjectives,andlinkedtomeasuresthatmakeitpossibletoobjectively
assessiftheobjectivehasbeenachieved.Objectivesthataremeasurableenable
teamstoknowifneedswereaddressedandwhetherachangewaseffective.
Definingmeasurableobjectivesisoftencriticaltojustifycompletingthechange
andmightbeakeycomponenttoabusinesscaseforthechange.Acommontest
forassessingobjectivesistoensurethattheyareSMART:
S pecific:describingsomethingthathasanobservableoutcome,
Measurable:trackingandmeasuringtheoutcome,
A chievable:testingthefeasibilityoftheeffort,
Relevant:aligningwiththeenterprisesvision,mission,andgoals,and
T imebounded:definingatimeframethatisconsistentwiththeneed.
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Createanewcapabilitysuchasanewproductorservice,addressa
competitivedisadvantage,orcreateanewcompetitiveadvantage.
DefineFutureState
StrategyAnalysis
.2 ScopeofSolutionSpace
Decisionsmustbemadeabouttherangeofsolutionsthatwillbeconsideredto
meetthebusinessgoalsandobjectives.Thescopeofthesolutionspacedefines
whichkindsofoptionswillbeconsideredwheninvestigatingpossiblesolutions,
includingchangestotheorganizationalstructureorculture,capabilitiesand
processes,technologyandinfrastructure,policies,products,orservices,oreven
creatingorchangingrelationshipswithorganizationscurrentlyoutsidethescope
oftheextendedenterprise.Solutionsineachoftheseareasgenerallyrequire
specificexpertisefromboththebusinessanalysisandthedeliveryteam.The
analysisforthismighthappenondifferentlevelsintheenterprise,andthescope
ofthesolutionspaceisnotnecessarilyrelatedtothesizeofthechange.Evena
smallchangemightrequirelookingattheenterpriselevelbusinessobjectivesto
ensurealignment.
Ifmultiplefuturestatescanmeetthebusinessneeds,goalsandobjectives,itwill
benecessarytodeterminewhichoneswillbeconsidered.Thisdecisionistypically
basedonthevaluetobedeliveredtostakeholdersandrequiresanunderstanding
ofpossiblechangestrategies.Thecriticalconsiderationsforthedecisionare
dependentontheoverallobjectivesoftheenterprise,butwillinvolvean
understandingofthequantitativeandqualitativevalueofeachoption,thetime
neededtoachieveeachfuturestate,andtheopportunitycosttotheenterprise.
.3 Constraints
Constraintsdescribeaspectsofthecurrentstate,aspectsoftheplannedfuture
statethatmaynotbechangedbythesolution,ormandatoryelementsofthe
design.Theymustbecarefullyexaminedtoensurethattheyareaccurateand
justified.
Constraintsmayreflectanyofthefollowing:
budgetaryrestrictions,
timerestrictions,
technology,
infrastructure,
policies,
limitsonthenumberofresourcesavailable,
restrictionsbasedontheskillsoftheteamandstakeholders,
arequirementthatcertainstakeholdersnotbeaffectedbythe
implementationofthesolution,
compliancewithregulations,and
anyotherrestriction.
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.4 OrganizationalStructureandCulture
Theformalandinformalworkingrelationshipsthatexistwithintheenterprise
mayneedtochangetofacilitatethedesiredfuturestate.Changestoreporting
linescanencourageteamstoworkmorecloselytogetherandfacilitatealignment
ofgoalsandobjectives.Elementsoftheorganizationalstructureandculturemay
needtochangetosupportthefuturestate.Describingthecomponentsofthe
futurestateprovidesinsightintopotentialconflicts,impact,andlimits.
.5 CapabilitiesandProcesses
Identifynewkindsofactivitiesorchangesinthewayactivitieswillbeperformed
torealizethefuturestate.Neworchangedcapabilitiesandprocesseswillbe
neededtodelivernewproductsorservices,tocomplywithnewregulations,orto
improvetheperformanceoftheenterprise.
Ifcurrenttechnologyandinfrastructureareinsufficienttomeetthebusiness
need,thebusinessanalystidentifiesthechangesnecessaryforthedesiredfuture
state.
Theexistingtechnologymayimposetechnicalconstraintsonthedesignofthe
solution.Thesemayincludedevelopmentlanguages,hardwareandsoftware
platforms,andapplicationsoftwarethatmustbeused.Technicalconstraintsmay
alsodescriberestrictionssuchasresourceutilization,messagesizeandtiming,
softwaresize,maximumnumberofandsizeoffiles,records,anddataelements.
TechnicalconstraintsincludeanyITarchitecturestandardsthatmustbefollowed.
.7 Policies
Ifcurrentpolicesareinsufficienttomeetthebusinessneed,thebusinessanalyst
identifiesthechangesnecessaryforthedesiredfuturestate.
Policiesareacommonsourceofconstraintsonasolutionoronthesolution
space.Businesspoliciesmaymandatewhatsolutionscanbeimplementedgiven
certainlevelsofapproval,theprocessforobtainingapproval,andthenecessary
criteriaaproposedsolutionmustmeetinordertoreceivefunding.Insome
instances,achangetoanexistingpolicymayopenupalternativesolutionsthat
wouldnototherwisebeconsidered.
.8 BusinessArchitecture
Theelementsofanyfuturestatemusteffectivelysupportoneanotherandall
contributetomeetingthebusinessgoalsandobjectives.Inaddition,theyshould
beintegratedintotheoveralldesiredfuturestateoftheenterpriseasawhole,
andsupportthatfuturestate.
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.6 TechnologyandInfrastructure
DefineFutureState
StrategyAnalysis
.9 InternalAssets
Theanalysisofresourcesmightindicatethatexistingresourcesneedtobe
increasedorrequireincreasedcapabilities,orthatnewresourcesneedtobe
developed.Whenanalyzingresources,businessanalystsexaminetheresources
neededtomaintainthecurrentstateandimplementthechangestrategy,and
determinewhatresourcescanbeusedaspartofadesiredfuturestate.The
assessmentofexistingandneededresourcesisconsideredwhenperforminga
feasibilityanalysisonpossiblesolutionapproachesforthechangestrategy.
.10 IdentifyAssumptions
Moststrategiesarepredicatedonasetofassumptionsthatwilldetermine
whetherornotthestrategycansucceed,particularlywhenoperatinginahighly
uncertainenvironment.Itwilloftenbedifficultorimpossibletoprovethatthe
deliveryofanewcapabilitywillmeetabusinessneed,evenincaseswhereit
appearsreasonabletoassumethatthenewcapabilitywillhavethedesiredeffect.
Theseassumptionsmustbeidentifiedandclearlyunderstood,sothatappropriate
decisionscanbemadeiftheassumptionlaterprovesinvalid.Changestrategiesin
uncertainenvironmentscanbestructuredinordertotesttheseassumptionsas
earlyaspossibletosupportaredirectionorterminationoftheinitiative.
.11 PotentialValue
Meetingthebusinessobjectivesalonedoesnotjustifythetransitiontoafuture
statethepotentialvaluemustbeevaluatedtoseeifitissufficienttojustifya
change.
Whendefiningthefuturestate,businessanalystsidentifythepotentialvalueof
thesolution.Thepotentialvalueofthefuturestateisthenetbenefitofthe
solutionafteroperatingcostsareaccountedfor.Achangemustresultingreater
valuefortheenterprisethanwouldbeachievedifnoactionwastaken.However,
itispossiblethatthefuturestatewillrepresentadecreaseinvaluefromthe
currentstateforsomestakeholdersorevenfortheenterpriseasawhole.New
regulationsorincreasedcompetition,forexample,mightneedtobeaddressed
fortheenterprisetoremainoperatingbutcouldstilldecreasetheoverallvalue
captured.
Whiledeterminingthefuturestate,businessanalystsconsiderincreasedor
decreasedpotentialvaluefrom:
externalopportunitiesrevealedinassessingexternalinfluences,
unknownstrengthsofnewpartners,
newtechnologiesorknowledge,
potentiallossofacompetitorinthemarket,and
mandatedadoptionofachangecomponent.
Businessanalystsidentifythespecificopportunitiesforpotentialalterationsin
value,aswellastheprobabilityofthoseincreasesfortheindividualcomponents
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StrategyAnalysis
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oftheproposedchange.Businessanalystsestimateatotalpotentialvalueby
aggregatingacrossallopportunities.
Thepotentialvalue,includingthedetailsoftheexpectedbenefitandcostsand
thelikelyresultifnochangeismade,isakeycomponenttomakingabusiness
caseforthechange.Relatingdescriptionsofpotentialvaluetomeasuresofactual
valuecurrentlybeingachievedenablesstakeholderstounderstandtheexpected
changeinvalue.Inmostcases,thefuturestatewillnotaddressallofthe
opportunitiesforimprovement.Anyunaddressedopportunitiesmightremain
validafterthesolutionisimplementedandshouldbenotedforfutureanalysisin
otherchanges.
6.2.5
GuidelinesandTools
tobecompleted.Itisoftenusedasastartingpointforthefuturestate.
MetricsandKeyPerformanceIndicators(KPIs):thekeyperformance
indicatorsandmetricswhichwillbeusedtodeterminewhetherthedesired
futurestatehasbeenachieved.
OrganizationalStrategy:describesthepath,method,orapproachan
enterpriseororganizationwilltaketoachieveitsdesiredfuturestate.Thiscan
beimplicitlyorexplicitlystated.
6.2.6
Techniques
AcceptanceandEvaluationCriteria:usedtoidentifywhatmaymakethe
futurestateacceptableand/orhowoptionsmaybeevaluated.
BalancedScorecard:usedtosettargetsformeasuringthefuturestate.
BenchmarkingandMarketAnalysis:usedtomakedecisionsaboutfuture
statebusinessobjectives.
Brainstorming:usedtocollaborativelycomeupwithideasforthefuturestate.
BusinessCapabilityAnalysis:usedtoprioritizecapabilitygapsinrelationto
valueandrisk.
BusinessCases:usedtocapturethedesiredoutcomesofthechangeinitiative.
BusinessModelCanvas:usedtoplanstrategyfortheenterprisebymapping
outtheneededinfrastructure,targetcustomerbase,financialcoststructure,
andrevenuestreamsrequiredtofulfillthevaluepropositiontocustomersinthe
desiredfuturestate.
DecisionAnalysis:usedtocomparethedifferentfuturestateoptionsand
understandwhichisthebestchoice.
117
Inadditiontothepotentialvalueofthefuturestate,thisanalysisshouldconsider
theacceptablelevelofinvestmenttoreachthefuturestate.Whiletheactual
investmentwilldependonthechangestrategy,thisinformationguidesthe
selectionofpossiblestrategies.
DefineFutureState
StrategyAnalysis
DecisionModelling:usedtomodelcomplexdecisionsregardingfuturestate
options.
FinancialAnalysis:usedtoestimatethepotentialfinancialreturnstobe
deliveredbyaproposedfuturestate.
FunctionalDecomposition:usedtobreakdowncomplexsystemswithinthe
futurestateforbetterunderstanding.
Interviews:usedtotalktostakeholderstounderstandtheirdesiredfuture
state,whichneedstheywanttoaddress,andwhatdesiredbusinessobjectives
theywanttomeet.
LessonsLearned:usedtodeterminewhichopportunitiesforimprovementwill
beaddressedandhowthecurrentstatecanbeimprovedupon.
MetricsandKeyPerformanceIndicators(KPIs):usedtodeterminewhen
theorganizationhassucceededinachievingthebusinessobjectives.
MindMapping:usedtodevelopideasforthefuturestateandunderstand
relationshipsbetweenthem.
OrganizationalModelling:usedtodescribetheroles,responsibilities,and
reportingstructuresthatwouldexistwithinthefuturestateorganization.
ProcessModelling:usedtodescribehowworkwouldoccurinthefuture
state.
Prototyping:usedtomodelfuturestateoptionsandcouldalsohelpdetermine
potentialvalue.
ScopeModelling:usedtodefinetheboundariesoftheenterpriseinthefuture
state.
SurveyorQuestionnaire:usedtounderstandstakeholders'desiredfuture
state,whichneedstheywanttoaddress,andwhatdesiredbusinessobjectives
theywanttomeet.
SWOTAnalysis:usedtoevaluatethestrengths,weaknesses,opportunities,
andthreatsthatmaybeexploitedormitigatedbythefuturestate.
VendorAssessment:usedtoassesspotentialvalueprovidedbyvendor
solutionoptions.
Workshops:usedtoworkwithstakeholderstocollaborativelydescribethe
futurestate.
6.2.7
Stakeholders
Customer:mightbetargetedpurchasersorconsumersinafuturestatewho
mightormightnotbereadyorabletoconsumeanewstate.
DomainSubjectMatterExpert:providesinsightintocurrentstateand
potentialfuturestates.
EndUser:expectedtouse,orbeacomponentof,asolutionthatimplements
thefuturestate.
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StrategyAnalysis
DefineFutureState
ImplementationSubjectMatterExpert:providesinformationregardingthe
feasibilityofachievingthefuturestate.
enterpriseandprovidesinformationontheirabilitytosupporttheoperationof
aproposedfuturestate.
ProjectManager:mighthaveinputonwhatisareasonableandmanageable
desiredfuturestate.
Regulator:ensuresthatlaws,regulations,orrulesareadheredtointhedesired
futurestate.Interpretationsofrelevantregulationsmustbeincludedinthe
futurestatedescriptionintheformofbusinesspolicies,businessrules,
procedures,orroleresponsibilities.
Supplier:mighthelpdefinethefuturestateiftheyaresupportingdeliveryof
thechangeordeliveranypartofthefuturestateoperation.
Tester:responsibleforensuringanenvisionedfuturestatecanbesufficiently
testedandcanhelpsetanappropriatelevelofqualitytotarget.
6.2.8
Outputs
BusinessObjectives:thedesireddirectionthatthebusinesswishestopursue
inordertoachievethefuturestate.
FutureStateDescription:thefuturestatedescriptionincludesboundariesof
theproposednew,removed,andmodifiedcomponentsoftheenterpriseand
thepotentialvalueexpectedfromthefuturestate.Thedescriptionmight
includethedesiredfuturecapabilities,policies,resources,dependencies,
infrastructure,externalinfluences,andrelationshipsbetweeneachelement.
PotentialValue:thevaluethatmayberealizedbyimplementingtheproposed
futurestate.
119
Sponsor:helpsdeterminewhichbusinessneedstoaddressandsetsthe
businessobjectivesthatafuturestatewillachieve.Authorizesandensures
fundingtosupportmovingtowardsthefuturestate.
AssessRisks
6.3
6.3.1
StrategyAnalysis
AssessRisks
Purpose
ThepurposeofAssessRisksistounderstandtheundesirableconsequencesof
internalandexternalforcesontheenterpriseduringatransitionto,oroncein,
thefuturestate.Anunderstandingofthepotentialimpactofthoseforcescanbe
usedtomakearecommendationaboutacourseofaction.
6.3.2
Description
Assessingrisksincludesanalyzingandmanagingthem.Risksmightberelatedto
thecurrentstate,adesiredfuturestate,achangeitself,achangestrategy,orany
tasksbeingperformedbytheenterprise.
Therisksareanalyzedforthe:
possibleconsequencesiftheriskoccurs,
impactofthoseconsequences,
likelihoodoftherisk,and
potentialtimeframewhentheriskmightoccur.
Thecollectionofrisksisusedasaninputforselectingorcoordinatingachange
strategy.Ariskassessmentcanincludechoosingtoacceptariskifeitherthe
effortrequiredtomodifytheriskorthelevelofriskoutweighstheprobableloss.
Iftherisksareunderstoodandthechangeproceeds,thentheriskscanbe
managedtominimizetheiroverallimpacttovalue.
Important Anumberofmethodsinclude'positiverisk'asawayofmanagingopportunities.
AlthoughtheformaldefinitionofriskintheBABOK Guidedoesn'tprecludethis
usage,'opportunities'arecapturedasneeds(andmanagedaccordingly),andrisk
isusedforuncertaineventsthatcanproducenegativeoutcomes.
6.3.3
Inputs
BusinessObjectives:describingthedesireddirectionneededtoachievethe
futurestatecanbeusedtoidentifyanddiscusspotentialrisks.
ElicitationResults(confirmed):anunderstandingofwhatthevarious
stakeholdersperceiveasriskstotherealizationofthedesiredfuturestate.
Influences:factorsinsideoftheenterprise(internal)andfactorsoutsideof
theenterprise(external)whichwillimpacttherealizationofthedesiredfuture
state.
PotentialValue:describingthevaluetoberealizedbyimplementingthe
proposedfuturestateprovidesabenchmarkagainstwhichriskscanbe
assessed.
Requirements(prioritized):dependingontheirpriority,requirementswill
influencetheriskstobedefinedandunderstoodaspartofsolutionrealization.
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StrategyAnalysis
AssessRisks
Figure6.3.1:AssessRisksInput/OutputDiagram
Input
GuidelinesandTools
BusinessPolicies
Influences
(internaland
external)
5.3
Requirements
(prioritized)
4.3
ElicitationResults
(confirmed)
6.2
Business
Objectives
5.3
Designs
(prioritized)
6.2
PotentialValue
ChangeStrategy
Output
6.3
RiskAnalysis
Results
IdentifiedRisks
Approach
6.3.4
4.5
Manage
Stakeholder
Collaboration
6.4
DefineChange
Strategy
7.6
AnalyzePotential
Valueand
Recommend
Solution
8.2
Analyze
Performance
Measures
8.3
AssessSolution
Limitations
8.4
AssessEnterprise
Limitations
Elements
.1 Unknowns
Whenassessingarisk,therewillbeuncertaintyinthelikelihoodofitoccurring,
andtheimpactifitdoesoccur.Businessanalystscollaboratewithstakeholdersto
assessrisksbasedoncurrentunderstanding.Evenwhenitisnotpossibletoknow
allthatwilloccurasaresultofaparticularchangestrategy,itisstillpossibleto
estimatetheimpactofunknownoruncertaineventsorconditionsoccurring.
Businessanalystsconsiderotherhistoricalcontextsfromsimilarsituationsto
assessrisks.Thelessonslearnedfrompastchangesandexpertjudgmentfrom
stakeholdersassistbusinessanalystsinguidingtheteamindecidingtheimpact
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6.3
AssessRisks
AssessRisks
StrategyAnalysis
andlikelihoodofrisksforthecurrentchange.
.2 Constraints,Assumptions,andDependencies
Constraints,assumptions,anddependenciescanbeanalyzedforrisksand
sometimesshouldbemanagedasrisksthemselves.Iftheconstraint,assumption,
ordependencyisrelatedtoanaspectofachange,itcanberestatedasariskby
identifyingtheeventorconditionandconsequencesthatcouldoccurbecauseof
theconstraint,assumption,ordependency.
.3 NegativeImpacttoValue
Risksareexpressedasconditionsthatincreasethelikelihoodorseverityofa
negativeimpacttovalue.Businessanalystsclearlyidentifyandexpresseachrisk
andestimateitslikelihoodandimpacttodeterminethelevelofrisk.Business
analystsestimateatotalrisklevelfromtheaggregatedsetofrisks,indicatingthe
overallpotentialimpactfortherisksbeingassessed.Insomecasesoverallrisk
levelcanbequantifiedinfinancialterms,orinanamountoftime,effort,orother
measures.
.4 RiskTolerance
Howmuchuncertaintyastakeholderoranenterpriseiswillingtotakeonin
exchangeforpotentialvalueisreferredtoasrisktolerance.
Ingeneral,therearethreebroadwaysofdescribingattitudetowardrisk:
Riskaversion:Anunwillingnesstoacceptmuchuncertaintytheremaybe
apreferencetoeitheravoidacourseofactionwhichcarriestoohighalevel
ofrisk,ortoinvestmore(andthereforeacceptalowerpotentialvalue)to
reducetherisks.
Neutrality:somelevelofriskisacceptable,providedthecourseofaction
doesnotresultinalosseveniftherisksoccur.
Riskseeking:Awillingnesstoacceptoreventakeonmoreriskinreturn
forahigherpotentialvalue.
Anindividualororganizationmayexhibitdifferentrisktolerancesatdifferent
times.Ifthereislowtoleranceforrisk,theremaybemoreeffortonavoidance,
transferormitigationstrategies.Ifthetoleranceforriskishigh,morerisksare
likelytobeaccepted.Typically,thehighestlevelrisksaredealtwithnomatter
whattherisktolerancelevel.
.5 Recommendation
Basedontheanalysisofrisks,businessanalystsrecommendacourseofaction.
Businessanalystsworkwithstakeholderstounderstandtheoverallriskleveland
theirtoleranceforrisk.
Therecommendationusuallyfallsintooneofthefollowingcategories:
pursuethebenefitsofachangeregardlessoftherisk,
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pursuethebenefitsofachangewhileinvestinginreducingrisk(likelihood
and/orimpact),
seekoutwaystoincreasethebenefitsofachangetooutweightherisk,
identifywaystomanageandoptimizeopportunities,and
donotpursuethebenefitsofachange.
Ifthechangeproceedswithrisks,stakeholdersshouldbeidentifiedtomonitor
therisksandconsequencesiftheriskeventoccurs.Theriskmayalterthecurrent
stateoftheenterpriseandrequirerevisionofthechangestrategy.Aplanof
actioninthiscasemaybedevelopedbeforetheriskmaterializes.
6.3.5
GuidelinesandTools
BusinessAnalysisApproach:guideshowthebusinessanalystanalyzesrisks.
ChangeStrategy:providestheplantotransitionfromthecurrentstatetothe
futurestateandachievethedesiredbusinessoutcomes.Thisapproachmustbe
assessedtounderstandrisksassociatedwiththechange.
tobecompleted.Itcanbeusedtodeterminerisksassociatedwiththecurrent
state.
FutureStateDescription:determinesrisksassociatedwiththefuturestate.
IdentifiedRisks:canbeusedasastartingpointformorethoroughrisk
assessment.ThesecancomefromRiskAnalysisResults,fromelicitation
activities,frompreviousbusinessanalysisexperience,orbasedonexpert
opinion.
StakeholderEngagementApproach:understandingstakeholdersand
stakeholdergroupshelpsidentifyandassessthepotentialimpactofinternal
andexternalforces.
6.3.6
Techniques
Brainstorming:usedtocollaborativelyidentifypotentialrisksforassessment.
BusinessCases:usedtocapturerisksassociatedwithalternativechange
strategies.
DecisionAnalysis:usedtoassessproblems.
DocumentAnalysis:usedtoanalyzeexistingdocumentsforpotentialrisks,
constraints,assumptions,anddependencies.
FinancialAnalysis:usedtounderstandthepotentialeffectofrisksonthe
financialvalueofthesolution.
Interviews:usedtounderstandwhatstakeholdersthinkmightberisksandthe
variousfactorsofthoserisks.
LessonsLearned:usedasafoundationofpastissuesthatmightberisks.
123
BusinessPolicies:definethelimitswithinwhichdecisionsmustbemade.
Thesemaymandateorgovernaspectsofriskmanagement.
DefineChangeStrategy
StrategyAnalysis
MindMapping:usedtoidentifyandcategorizepotentialrisksandunderstand
theirrelationships.
RiskAnalysisandManagement:usedtoidentifyandmanagerisks.
RootCauseAnalysis:usedtoidentifyandaddresstheunderlyingproblem
creatingarisk.
SurveyorQuestionnaire:usedtounderstandwhatstakeholdersthinkmight
berisksandthevariousfactorsofthoserisks.
Workshops:usedtounderstandwhatstakeholdersthinkmightberisksand
thevariousfactorsofthoserisks.
6.3.7
Stakeholders
DomainSubjectMatterExpert:providesinputtotheriskassessmentbased
ontheirknowledgeofpreparationrequiredintheirareaofexpertise.
ImplementationSubjectMatterExpert:providesinputtotherisk
assessmentbasedontheirknowledgeofpreparationrequiredintheirareaof
expertise.
OperationalSupport:supportstheoperationsoftheenterpriseandcan
identifylikelyrisksandtheirimpact.
ProjectManager:helpstoassessriskandisprimarilyresponsibleformanaging
andmitigatingrisktotheproject.
Regulator:identifiesanyrisksassociatedwithadherencetolaws,regulations,
orrules.
Sponsor:needstounderstandrisksaspartofauthorizingandfundingchange.
Supplier:theremightberiskassociatedwithusingasupplier.
Tester:identifiesrisksinthechangestrategy,fromavalidationorverification
perspective.
6.3.8
Outputs
RiskAnalysisResults:anunderstandingoftherisksassociatedwithachievingthe
futurestate,andthemitigationstrategieswhichwillbeusedtopreventthose
risks,reducetheimpactoftherisk,orreducethelikelihoodoftheriskoccurring.
6.4
6.4.1
Purpose
ThepurposeofDefineChangeStrategyistodevelopandassessalternative
approachestothechange,andthenselecttherecommendedapproach.
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StrategyAnalysis
6.4.2
Description
Developingachangestrategyissimplerwhenthecurrentstateandthefuture
statearealreadydefinedbecausetheyprovidesomecontextforthechange.
Thechangestrategyclearlydescribesthenatureofthechangeintermsof:
contextofthechange,
identifiedalternativechangestrategies,
justificationforwhyaparticularchangestrategyisthebestapproach,
investmentandresourcesrequiredtoworktowardthefuturestate,
howtheenterprisewillrealizevalueafterthesolutionisdelivered,
keystakeholdersinthechange,and
Theappropriaterepresentationofachangestrategydependsontheperspective
ofthechangeteamandtheirstakeholders.Thechangestrategymightbe
presentedaspartofabusinesscase,StatementofWork(SOW),anenterprises
strategicplan,orinotherformats.
Definingachangestrategyusuallyinvolvesidentifyingseveralstrategiesand
ultimatelyselectingthestrategythatismostappropriateforthesituation.
Changestrategiescanentailattainingonlypartsofafuturestateinitially,and
thereforeincludeonlysomecomponentsofacompletesolution.Foreach
transitionstatealongthepathtoreachingthefuturestate,thechangestrategy
shouldclarifywhichpartsofthesolutionarecompletedandwhicharenot,as
wellaswhichpartsofthevaluecanberealizedandwhichcannot.
6.4.3
Inputs
CurrentStateDescription:providescontextaboutthecurrentstate,and
includesassessmentsofinternalandexternalinfluencestotheenterpriseunder
consideration.
FutureStateDescription:providescontextaboutthedesiredfuturestate.
RiskAnalysisResults:describeidentifiedrisksandexposureofeachrisk.
StakeholderEngagementApproach:understandingstakeholders'
communicationandcollaborationneedscanhelpidentifychangerelated
activitiesthatneedtobeincludedaspartofthechangestrategy.
125
transitionstatesalongtheway.
StrategyAnalysis
Figure6.4.1:DefineChangeStrategyInput/OutputDiagram
Input
3.2
Stakeholder
Engagement
Approach
6.1
CurrentState
Description
6.2
FutureState
Description
6.3
RiskAnalysis
Results
GuidelinesandTools
BusinessAnalysis
Approach
6.4
Output
DesignOptions
Solution
Recommendations
6.4
ChangeStrategy
6.4
SolutionScope
3.2
PlanStakeholder
Engagement
5.3
Prioritize
Requirements
5.3
Prioritize
Requirements
5.4
Assess
Requirements
Changes
5.4
Assess
Requirements
Changes
5.5
Approve
Requirements
5.5
Approve
Requirements
7.1
SpecifyandModel
Requirements
6.3
AssessRisks
7.5
DefineDesign
Options
7.3
Validate
Requirements
7.4
Define
Requirements
Architecture
8.1
MeasureSolution
Performance
8.2
Analyze
Performance
Measures
7.5
DefineDesign
Options
7.6
AnalyzePotential
Valueand
Recommend
Solution
8.3
AssessSolution
Limitations
8.4
AssessEnterprise
Limitations
8.1
MeasureSolution
Performance
8.2
Analyze
Performance
Measures
8.3
AssessSolution
Limitations
8.4
AssessEnterprise
Limitations
8.5
Recommend
ActionstoIncrease
SolutionValue
126
StrategyAnalysis
6.4.4
Elements
.1 SolutionScope
Thesolutionistheoutcomeofachangethatallowsanenterprisetosatisfya
need.Multiplesolutionoptionsmightbeevaluatedand,aspartofachange
strategy,thebestsolutionapproachisjustifiedandselected.Thesolutionscope
definestheboundariesofthesolution,andisdescribedinenoughdetailto
enablestakeholderstounderstandwhichnewcapabilitiesthechangewilldeliver.
Italsodescribeshowtheproposedsolutionenablesthefuturestate'sgoals.The
solutionscopemightevolvethroughoutaninitiativeasmoreinformationis
discovered.
Thesolutionscopemightbedescribedindifferentways,includingtheuseof:
functions,
technology,
locations,
businessrules,
networks,
businessdecisions,
organizationalstructures,
data,
workflows,
processes,
events,
resources,
sequence,
knowledgeandskills,
motivations,or
modelsanddescriptionsof
markets,
businesslogic.
Thesolutionscopecanalsoincludedescriptionsofoutofscopesolution
componentstoprovideclarity.
.2 GapAnalysis
Agapanalysisidentifiesthedifferencebetweencurrentstateandfuturestate
capabilities.Toperformgapanalysis,bothcurrentstateandfuturestateshould
bedefined.Usingthesametechniquestodescribebothcurrentandfuturestates
assistsingapanalysis,asitsimplifiesthecomparison.
Gapanalysiscanhelpidentifythegapsthatpreventtheenterprisefrommeeting
needsandachievinggoals.Itcanbeusedtodetermineiftheenterprisecanmeet
itsneedsusingitsexistingstructure,resources,capabilities,andtechnology.Ifthe
enterprisecanmeettheneedwiththecurrentstatecapabilities,thenthechange
willlikelyberelativelysmall,ortheremaybenochangeatall.Inanyothercase,a
changestrategyisneededtocreatethemissingcapabilitiesorimprovethe
existingones.Thecapabilitiesanalyzedinagapanalysiscaninclude:
processes,
staffcompetencies,
functions,
knowledgeandskills,
linesofbusiness,
training,
organizationalstructures,
facilities,
127
capabilities,
StrategyAnalysis
locations,
applicationsystems,and
dataandinformation,
technologyinfrastructure.
Thegapswillneedtobeaddressedinthetransitionandfuturestates.
.3 EnterpriseReadinessAssessment
Businessanalystsanalyzetheenterprisetoassessitscapacitytomakethechange
andtosustainthechangeinthefuturestate.Thereadinessassessmentconsiders
theenterprisescapacitynotonlytomakethechange,buttouseandsustainthe
solution,andrealizevaluefromthesolution.Theassessmentalsofactorsinthe
culturalreadinessofthestakeholdersandoperationalreadinessinmakingthe
change,thetimelinefromwhenthechangeisimplementedtowhenvaluecanbe
realized,andtheresourcesavailabletosupportthechangeeffort.
.4 ChangeStrategy
Achangestrategyisahighlevelplanofkeyactivitiesandeventsthatwillbeused
totransformtheenterprisefromthecurrentstatetothefuturestate.Change
strategiesmaybeasingularinitiativecomposedofsmallerchangeswhichmight
bestructuredasasetorsequenceofprojects,orasvariouscontinuous
improvementefforts.Eachelementofchangemightnotcompletelyaddressthe
need,somultiplechangesmightbenecessary.
Duringthecourseofthedevelopmentofachangestrategy,severaloptionsare
identified,explored,anddescribedinenoughdetailtodeterminewhichoptions
arefeasible.Alternativescanbeidentifiedthroughbrainstormingandconsulting
subjectmatterexperts(SMEs).Sourcesofideascanincludehistoricalideas,
historicalchanges,othermarkets'strategies,andcompetitors'approaches.
Apreferredchangestrategyisselectedfromthissetofoptionsanddevelopedin
moredetail.Thepreferredchangestrategyshouldbeselectedconsidering:
organizationalreadinesstomakethechange,
majorcostsandinvestmentsneededtomakethechange,
timelinestomakethechange,
alignmenttothebusinessobjectives,
timelinesforvaluerealization,and
opportunitycostsofthechangestrategy.
Businessanalystsmaydevelopabusinesscaseforeachpotentialchangestrategy
tosupportdecisionmaking.Theopportunitycostofeachchangestrategyalso
needstobeconsidered.Opportunitycostreferstothebenefitsthatcouldhave
beenachievedbyselectinganalternativechangestrategy.Theoptionsconsidered
andrejectedareanimportantcomponentofthefinalstrategy,providing
stakeholderswithanunderstandingoftheprosandconsofvariousapproaches
tomakingthechange.
Whendefiningthechangestrategy,theinvestmenttomakethechangetothe
futurestateisalsoconsidered.Thenetbenefitsofafuturestatemaybeveryhigh,
128
StrategyAnalysis
butiftheinvestmentisunbearable("theyjustcan'taffordthechange")the
enterprisemaypassontheopportunity,andinvestinsomethingelse.
Thepotentialvalue,includingthedetailsoftheexpectedbenefitandcosts,are
keycomponentstomakingabusinesscaseforthechange.Relatingdescriptions
ofpotentialvaluetomeasuresofactualvaluecurrentlybeingachievedenables
stakeholderstounderstandtheexpectedchangeinvalue.Whileeverychange
facilitatedbybusinessanalystsisintendedtoincreasevalue,somechanges
decreasevalueinpartsofanenterprisewhileincreasingitinothers.
.5 TransitionStatesandReleasePlanning
6.4.5
GuidelinesandTools
BusinessAnalysisApproach:guideshowthebusinessanalystdefinesa
changestrategy.
DesignOptions:describevariouswaystosatisfythebusinessneeds.Each
optionwillcomewithitsownsetofchangechallengesandthechangestrategy
willbeimpactedbytheoptionselectedaswellasthespecificchangeapproach
thatwillbeused.
SolutionRecommendations:identifyingthepossiblesolutionswhichcanbe
pursuedinordertoachievethefuturestate,whichincludesthe
recommendationsofvarioussubjectmatterexperts(SMEs),helpsthebusiness
analystdeterminethetypesofchangestotheorganization.
6.4.6
Techniques
BalancedScorecard:usedtodefinethemetricsthatwillbeusedtoevaluate
theeffectivenessofthechangestrategy.
BenchmarkingandMarketAnalysis:usedtomakedecisionsaboutwhich
changestrategyisappropriate.
Brainstorming:usedtocollaborativelycomeupwithideasforchange
strategies.
BusinessCapabilityAnalysis:usedtoprioritizecapabilitygapsinrelationto
valueandrisk.
129
Inmanycases,thefuturestatewillneedtobeachievedovertimeratherthan
throughasinglechange,meaningthattheenterprisewillhavetooperateinone
ormoretransitionstates.Releaseplanningisconcernedwithdeterminingwhich
requirementstoincludeineachrelease,phase,oriterationofthechange.
Businessanalystshelpfacilitatereleaseplanningdiscussionstohelpstakeholders
reachdecisions.Therearemanyfactorsthatguidethesedecisions,suchasthe
overallbudget,deadlinesortimeconstraints,resourceconstraints,training
schedules,andtheabilityofthebusinesstoabsorbchangeswithinadefinedtime
frame.Theremaybeorganizationalrestraintsorpoliciesthatmustbeadheredto
inanyimplementation.Businessanalystsassistinplanningthetimingofthe
implementationinordertocauseminimaldisruptiontobusinessactivities,andto
ensureallpartiesunderstandtheimpacttotheorganization.
StrategyAnalysis
BusinessCases:usedtocaptureinformationabouttherecommendedchange
strategyandotherpotentialstrategiesthatwereassessedbutnot
recommended.
BusinessModelCanvas:usedtodefinethechangesneededinthecurrent
infrastructure,customerbase,andfinancialstructureoftheorganizationin
ordertoachievethepotentialvalue.
DecisionAnalysis:usedtocomparedifferentchangestrategiesandchoose
whichismostappropriate.
Estimation:usedtodeterminetimelinesforactivitieswithinthechange
strategy.
FinancialAnalysis:usedtounderstandthepotentialvalueassociatedwitha
changestrategy,andevaluatestrategiesagainsttargetssetforreturnon
investments.
FocusGroups:usedtobringcustomersorenduserstogethertosolicittheir
inputonthesolutionandchangestrategy.
FunctionalDecomposition:usedtobreakdownthecomponentsofthe
solutionintopartswhendevelopingachangestrategy.
Interviews:usedtotalktostakeholdersinordertofullydescribethesolution
scopeandchangescope,andtounderstandtheirsuggestionsforachange
strategy.
LessonsLearned:usedtounderstandwhatwentwronginpastchangesin
ordertoimprovethischangestrategy.
MindMapping:usedtodevelopandexploreideasforchangestrategies.
OrganizationalModelling:usedtodescribetheroles,responsibilities,and
reportingstructuresthatarenecessaryduringthechangeandarepartofthe
solutionscope.
ProcessModelling:usedtodescribehowworkwouldoccurinthesolution
scopeorduringthechange.
ScopeModelling:usedtodefinetheboundariesonthesolutionscopeand
changescopedescriptions.
SWOTAnalysis:usedtomakedecisionsaboutwhichchangestrategyis
appropriate.
VendorAssessment:usedtodeterminewhetheranyvendorsarepartofthe
changestrategy,eithertoimplementthechangeortobepartofthesolution.
Workshops:usedinworkwithstakeholderstocollaborativelydevelopchange
strategies.
6.4.7
Stakeholders
Customer:mightbepurchasingorconsumingthesolutionthatresultsfrom
thechange.Customerscanalsobeinvolvedinachangeastestersorfocus
130
StrategyAnalysis
groupmembers,whoseinputisconsideredintheenterprisereadiness
assessment.
DomainSubjectMatterExpert:haveexpertiseinsomeaspectofthechange.
EndUser:usesasolution,isacomponentofthesolution,orisauser
temporarilyduringthechange.Enduserscouldbecustomersorpeoplewho
workwithintheenterpriseexperiencingachange.Usersmightbeinvolvedina
changeastestersorfocusgroupmembers,whoseinputisconsideredinthe
enterprisereadinessassessment.
ImplementationSubjectMatterExpert:haveexpertiseinsomeaspectof
thechange.
ProjectManager:responsibleformanagingchangeandplanningthedetailed
activitiestocompleteachange.Inaproject,theprojectmanagerisresponsible
fortheprojectscope,whichcoversalltheworktobeperformedbytheproject
team.
Regulator:ensuresadherencetolaws,regulations,orrulesduringandatthe
completionofthechange.Theregulatormighthaveuniqueinputtothe
enterprisereadinessassessment,astheremightbelawsandregulationsthat
mustbecompliedwithpriortoorasaresultofaplannedorcompletedchange.
Sponsor:authorizesandensuresfundingforsolutiondelivery,andchampions
thechange.
Supplier:mighthelpimplementthechangeorbepartofthesolutiononcethe
changeiscompleted.
Tester:responsibleforensuringthatthechangewillfunctionwithinacceptable
parameters,accomplishthedesiredresult,anddeliversolutionsthatmeetan
appropriatelevelofquality.Thetesterisofteninvolvedinvalidationof
componentsofasolutionforwhichtheresultswillbeincludedinanenterprise
readinessassessment.
6.4.8
Outputs
ChangeStrategy:theapproachthattheorganizationwillfollowtoguide
change.
SolutionScope:thesolutionscopethatwillbeachievedthroughexecutionof
thechangestrategy.
131
enterprise,andprovideinformationontheirabilitytosupporttheoperationof
asolutionduringandafterachange.
StrategyAnalysis
132
TheRequirementsAnalysisandDesignDefinitionknowledgeareadescribesthe
tasksthatbusinessanalystsperformtostructureandorganizerequirements
discoveredduringelicitationactivities,specifyandmodelrequirementsand
designs,validateandverifyinformation,identifysolutionoptionsthatmeet
businessneeds,andestimatethepotentialvaluethatcouldberealizedforeach
solutionoption.Thisknowledgeareacoverstheincrementalanditerative
activitiesrangingfromtheinitialconceptandexplorationoftheneedthroughthe
transformationofthoseneedsintoaparticularrecommendedsolution.
Formore
information,see
Requirementsand
Designs(p.19).
Bothrequirementsanddesignsareimportanttoolsusedbybusinessanalyststo
defineandguidechange.Themaindifferencebetweenrequirementsanddesigns
isinhowtheyareusedandbywhom.Onepersonsdesignsmaybeanother
personsrequirements.Requirementsanddesignsmaybeeitherhighlevelorvery
detailedbaseduponwhatisappropriatetothoseconsumingtheinformation.
Thebusinessanalyst'sroleinmodellingneeds,requirements,designs,and
solutionsisinstrumentalinconductingthoroughanalysisandcommunicating
withotherstakeholders.Theform,levelofdetail,andwhatisbeingmodelledare
alldependentonthecontext,audience,andpurpose.
Businessanalystsanalyzethepotentialvalueofbothrequirementsanddesigns.In
collaborationwithimplementationsubjectmatterexperts,businessanalysts
definesolutionoptionsthatcanbeevaluatedinordertorecommendthebest
solutionoptionthatmeetstheneedandbringsthemostvalue.
133
RequirementsAnalysisandDesign
Definition
RequirementsAnalysisandDesignDefinition
StrategyAnalysis
Potential
Need
Solution
Scope
&DesignDefinition
SolutionEvaluation
Requirements
ProofofConcept/
Pilot/Beta
Prototype
Design
Actual
Operating
TheRequirementsAnalysisandDesignDefinitionknowledgeareaincludesthe
followingtasks:
SpecifyandModelRequirements:describesasetofrequirementsor
designsindetailusinganalyticaltechniques.
VerifyRequirements:ensuresthatasetofrequirementsordesignshas
beendevelopedinenoughdetailtobeusablebyaparticularstakeholder,is
internallyconsistent,andisofhighquality.
ValidateRequirements:ensuresthatasetofrequirementsordesigns
deliversbusinessvalueandsupportstheorganization'sgoalsand
objectives.
DefineRequirementsArchitecture:structuresallrequirementsand
designssothattheysupporttheoverallbusinesspurposeforachangeand
thattheyworkeffectivelyasacohesivewhole.
DefineSolutionOptions:identifies,exploresanddescribesdifferent
possiblewaysofmeetingtheneed.
AnalyzePotentialValueandRecommendSolution:assessesthe
businessvalueassociatedwithapotentialsolutionandcomparesdifferent
options,includingtradeoffs,toidentifyandrecommendthesolution
optionthatdeliversthegreatestoverallvalue.
TheCoreConceptModelinRequirementsAnalysis
andDesignDefinition
usageandapplicationofeachofthecoreconceptswithinthecontextof
RequirementsAnalysisandDesignDefinition.
134
Table7.0.1:TheCoreConceptModelinRequirementsAnalysisandDesign
Definition
DuringRequirementsAnalysisandDesign
Definition,businessanalysts...
inresponsetoaneed.
transformelicitationresultsinto
requirementsanddesignsinorderto
definethechange.
beaddressed.
analyzetheneedsinordertorecommend
asolutionthatmeetstheneeds.
satisfyingoneormoreneeds
withinacontext.
definesolutionoptionsandrecommend
theonethatismostlikelytoaddressthe
needandhasthemostvalue.
solution.
tailortherequirementsanddesignsso
thattheyareunderstandableandusable
byeachstakeholdergroup.
analyzeandquantifythepotentialvalue
ofthesolutionoptions.
change.
modelanddescribethecontextinformats
thatareunderstandableandusablebyall
stakeholders.
135
CoreConcept
SpecifyandModelRequirements
Figure7.0.2:RequirementsAnalysisandDesignDefinitionInput/OutputDiagram
Input
Requirements
(anystate)
3.4
Information
Management
Approach
4.2,4.3
ElicitationResults
(anystate)
6.2
PotentialValue
6.4
SolutionScope
6.4
ChangeStrategy
Tasks
7.1
SpecifyandModel
Requirements
7.2
Verify
Requirements
7.3
Validate
Requirements
7.4
Define
Requirements
Architecture
7.5
DefineDesign
Options
7.6
AnalyzePotential
Valueand
Recommend
Solution
Output
7.1
7.1.1
7.1
Requirements
(specifiedand
modelled)
7.2
Requirements
(verified)
7.3
Requirements
(validated)
7.4
Requirements
Architecture
7.5
DesignOptions
7.6
Solution
Recommendation
Purpose
ThepurposeofSpecifyandModelRequirementsistoanalyze,synthesize,and
refineelicitationresultsintorequirementsanddesigns.
7.1.2
Description
SpecifyandModelRequirementsdescribesthepracticesforanalyzingelicitation
136
resultsandcreatingrepresentationsofthoseresults.Whenthefocusofthe
specifyingandmodellingactivityisonunderstandingtheneed,theoutputsare
referredtoasrequirements.Whenthefocusofthespecifyingandmodelling
activityisonasolution,theoutputsarereferredtoasdesigns.
Important InmanyITenvironments,theword'design'isusedspecificallyfortechnical
designscreatedbysoftwaredevelopers,dataarchitects,andother
implementationsubjectmatterexperts.Allbusinessdeliverablesarereferredtoas
'requirements'.
Inadditiontothemodelsusedtorepresenttherequirements,thistaskalso
includescapturinginformationaboutattributesormetadataaboutthe
requirements.Thespecifyingandmodellingactivitiesrelatetoallrequirement
types.
Inputs
ElicitationResults(anystate):modellingcanbeginwithanyelicitationresult
andmayleadtotheneedformoreelicitationtoclarifyorexpandupon
requirements.Elicitationandmodellingmayoccursequentially,iteratively,or
concurrently.
Figure7.1.1:SpecifyandModelRequirementsInput/OutputDiagram
Input
GuidelinesandTools
4.2,4.3
ElicitationResults
(anystate)
ModellingNotations/
Standards
ModellingTools
7.1
SpecifyandModel
Requirements
Output
RequirementsLifeCycle
ManagementTools
7.1
Requirements
(specifiedand
modelled)
SolutionScope
7.2
Verify
Requirements
137
7.3
Validate
Requirements
7.1.3
7.1.4
Elements
.1 ModelRequirements
Amodelisadescriptiveandvisualwaytoconveyinformationtoaspecific
audienceinordertosupportanalysis,communication,andunderstanding.
Modelsmayalsobeusedtoconfirmknowledge,identifyinformationgapsthat
thebusinessanalystmayhave,andidentifyduplicateinformation.
Businessanalystschoosefromoneormoreofthefollowingmodellingformats:
Matrices:amatrixisusedwhenthebusinessanalystismodellinga
requirementorsetofrequirementsthathaveacomplexbutuniform
structure,whichcanbebrokendownintoelementsthatapplytoevery
entryinthetable.Matricesmaybeusedfordatadictionaries,requirements
traceability,orforgapanalysis.Matricesarealsousedforprioritizing
requirementsandrecordingotherrequirementsattributesandmetadata.
Diagrams:adiagramisavisual,oftenpictorial,representationofa
requirementorsetofrequirements.Adiagramisespeciallyusefultodepict
complexityinawaythatwouldbedifficulttodowithwords.Diagramscan
alsobeusedtodefineboundariesforbusinessdomains,tocategorizeand
createhierarchiesofitems,andtoshowcomponentsofobjectssuchas
dataandtheirrelationships.
Usingoneormoreofthemodelformats,businessanalystsdeterminespecific
categoriesandspecificmodelswithincategoriestobeused.Modelcategoriescan
include:
PeopleandRoles:modelsrepresentorganizations,groupsofpeople,
roles,andtheirrelationshipswithinanenterpriseandtoasolution.
TechniquesusedtorepresentpeopleandtheirrolesincludeOrganizational
Modelling,RolesandPermissionsMatrixandStakeholderList,Map,or
Personas.
Rationale:modelsrepresentthewhyofachange.Techniquesusedto
representtherationaleincludeDecisionModelling,ScopeModelling,
BusinessModelCanvas,RootCauseAnalysis,andBusinessRulesAnalysis.
ActivityFlow:modelsrepresentasequenceofactions,events,oracourse
thatmaybetaken.Techniquesusedtorepresentactivityflowsinclude
ProcessModelling,UseCasesandScenarios,andUserStories.
Capability:modelsfocusonfeaturesorfunctionsofanenterpriseora
solution.TechniquesusedtorepresentcapabilitiesincludeBusiness
CapabilityAnalysis,FunctionalDecomposition,andPrototyping.
DataandInformation:modelsrepresentthecharacteristicsandthe
exchangeofinformationwithinanenterpriseorasolution.Techniquesused
torepresentdataandinformationincludeDataDictionary,DataFlow
Diagrams,DataModelling,Glossary,StateModelling,andInterface
Analysis.
138
Businessanalystsshoulduseanycombinationofmodelsbestsuitedtomeet
stakeholderneedsinagivencontext.Eachmodellingtechniquehasstrengths
andweaknessesandprovidesuniqueinsightsintothebusinessdomain.
.2 AnalyzeRequirements
Businessanalysisinformationisdecomposedintocomponentstofurtherexamine
for:
anythingthatmustchangetomeetthebusinessneed,
anythingthatshouldstaythesametomeetthebusinessneed,
missingcomponents,
unnecessarycomponents,and
Thelevelofdecompositionrequired,andthelevelofdetailtobespecified,varies
dependingontheknowledgeandunderstandingofthestakeholders,the
potentialformisunderstandingormiscommunication,organizationalstandards,
andcontractualorregulatoryobligations,amongotherfactors.
Analysisprovidesabasisfordiscussiontoreachaconclusionaboutsolution
options.
.3 RepresentRequirementsandAttributes
Businessanalystsidentifyinformationforrequirementsandtheirattributesaspart
oftheelicitationresults.Requirementsshouldbeexplicitlyrepresentedand
shouldincludeenoughdetailsuchthattheyexhibitthecharacteristicsof
requirementsanddesignsquality(seeVerifyRequirements(p.141)).Various
attributescanbespecifiedforeachrequirementorsetofrequirements.These
attributesareselectedwhenplanningforinformationmanagement(seePlan
BusinessAnalysisInformationManagement(p.42)).
Aspartofspecifyingrequirements,theycanalsobecategorizedaccordingtothe
schemadescribedintaskRequirementsClassificationSchema(p.16).Typically
elicitationresultscontaininformationofdifferenttypes,soitisnaturaltoexpect
thatdifferenttypesofrequirementsmightbespecifiedatthesametime.
Categorizingrequirementscanhelpensuretherequirementsarefully
understood,asetofanytypeiscomplete,andthatthereisappropriate
traceabilitybetweenthetypes.
.4 ImplementtheAppropriateLevelsofAbstraction
Thelevelofabstractionofarequirementvariesbasedonthetypeofrequirement
andaudiencefortherequirement.Notallstakeholdersrequireorfindvalueinthe
completesetofrequirementsandmodels.Itmaybeappropriatetoproduce
differentviewpointsofrequirementstorepresentthesameneedfordifferent
stakeholders.Businessanalyststakespecialcaretomaintainthemeaningand
intentoftherequirementsoverallrepresentations.
Thebusinessanalysisapproachmayalsoinfluencethelevelofabstractionand
choiceofmodelsusedwhendefiningrequirements.
139
anyconstraintsorassumptionsthatimpactthecomponents.
7.1.5
GuidelinesandTools
ModellingNotations/Standards:allowrequirementsanddesignstobe
preciselyspecified,asisappropriatefortheaudienceandthepurposeofthe
models.Standardtemplatesandsyntaxhelptoensurethattheright
informationisprovidedabouttherequirements.
ModellingTools:softwareproductsthatfacilitatedrawingandstoring
matricesanddiagramstorepresentrequirements.Thisfunctionalitymayormay
notbepartofrequirementslifecyclemanagementtools.
RequirementsArchitecture:therequirementsandinterrelationshipsamong
themcanbeusedtoensuremodelsarecompleteandconsistent.
RequirementsLifeCycleManagementTools:softwareproductsthat
facilitaterecording,organizing,storing,andsharingrequirementsanddesigns.
SolutionScope:theboundariesofthesolutionprovidetheboundariesforthe
requirementsanddesignsmodels.
7.1.6
Techniques
AcceptanceandEvaluationCriteria:usedtorepresenttheacceptanceand
evaluationcriteriaattributesofrequirements.
BusinessCapabilityAnalysis:usedtorepresentfeaturesorfunctionsofan
enterprise.
BusinessModelCanvas:usedtodescribetherationaleforrequirements.
BusinessRulesAnalysis:usedtoanalyzebusinessrulessothattheycanbe
specifiedandmodelledalongsiderequirements.
ConceptModelling:usedtodefinetermsandrelationshipsrelevanttothe
changeandtheenterprise.
DataDictionary:usedtorecorddetailsaboutthedatainvolvedinthechange.
Detailsmayincludedefinitions,relationshipswithotherdata,origin,format,
andusage.
DataFlowDiagrams:usedtovisualizedataflowrequirements.
DataModelling:usedtomodelrequirementstoshowhowdatawillbeused
tomeetstakeholderinformationneeds.
DecisionModelling:usedtorepresentdecisionsinamodelinordertoshow
theelementsofdecisionmakingrequired.
FunctionalDecomposition:usedtomodelrequirementsinordertoidentify
constituentpartsofanoverallcomplexbusinessfunction.
Glossary:usedtorecordthemeaningofrelevantbusinesstermswhile
analyzingrequirements.
InterfaceAnalysis:usedtomodelrequirementsinordertoidentifyand
validateinputsandoutputsofthesolutiontheyaremodelling.
NonFunctionalRequirementsAnalysis:usedtodefineandanalyzethe
qualityofserviceattributes.
140
VerifyRequirements
OrganizationalModelling:usedtoallowbusinessanalyststomodelthe
roles,responsibilities,andcommunicationswithinanorganization.
ProcessModelling:usedtoshowthestepsoractivitiesthatareperformedin
theorganization,orthatmustbeperformedtomeetthedesiredchange.
Prototyping:usedtoassistthestakeholdersinvisualizingtheappearanceand
capabilitiesofaplannedsolution.
RolesandPermissionsMatrix:usedtospecifyandmodelrequirements
concernedwiththeseparationofdutiesamongusersandexternalinterfacesin
utilizingasolution.
RootCauseAnalysis:usedtomodeltherootcausesofaproblemaspartof
rationale.
ScopeModelling:usedtovisuallyshowascopeboundary.
StakeholderList,Map,orPersonas:usedtoidentifythestakeholdersand
theircharacteristics.
StateModelling:usedtospecifythedifferentstatesofapartofthesolution
throughoutalifecycle,intermsoftheeventsthatoccur.
UseCasesandScenarios:usedtomodelthedesiredbehaviourofasolution,
byshowinguserinteractionswiththesolution,toachieveaspecificgoalor
accomplishaparticulartask.
UserStories:usedtospecifyrequirementsasabriefstatementaboutwhat
peopledoorneedtodowhenusingthesolution.
7.1.7
Stakeholders
Anystakeholder:businessanalystsmaychoosetoperformthistask
themselvesandthenseparatelypackageandcommunicatetherequirementsto
stakeholdersfortheirreviewandapproval,ortheymightchoosetoinvitesome
orallstakeholderstoparticipateinthistask.
7.1.8
Outputs
Requirements(specifiedandmodelled):anycombinationofrequirements
and/ordesignsintheformoftext,matrices,anddiagrams.
7.2
7.2.1
VerifyRequirements
Purpose
ThepurposeofVerifyRequirementsistoensurethatrequirementsanddesigns
specificationsandmodelsmeetqualitystandardsandareusableforthepurpose
theyserve.
141
SequenceDiagrams:usedtospecifyandmodelrequirementstoshowhow
processesoperateandinteractwithoneanother,andinwhatorder.
VerifyRequirements
7.2.2
Description
Verifyingrequirementsensuresthattherequirementsanddesignshavebeen
definedcorrectly.Requirementsverificationconstitutesacheckbythebusiness
analystandkeystakeholderstodeterminethattherequirementsanddesignsare
readyforvalidation,andprovidestheinformationneededforfurtherworktobe
performed.
Ahighqualityspecificationiswellwrittenandeasilyunderstoodbyitsintended
audience.Ahighqualitymodelfollowstheformalorinformalnotationstandards
andeffectivelyrepresentsreality.
Themostimportantcharacteristicofqualityrequirementsanddesignsisfitness
foruse.Theymustmeettheneedsofstakeholderswhowillusethemfora
particularpurpose.Qualityisultimatelydeterminedbystakeholders.
7.2.3
Inputs
Requirements(specifiedandmodelled):anyrequirement,design,orsetof
thosemaybeverifiedtoensurethattextiswellstructuredandthatmatrices
andmodellingnotationareusedcorrectly.
Figure7.2.1:VerifyRequirementsInput/OutputDiagram
Input
7.1
Requirements
(specifiedand
modelled)
GuidelinesandTools
7.2
VerifyRequirements
RequirementsLifeCycle
ManagementTools
Output
7.2
Requirements
(verified)
5.5
Approve
Requirements
142
7.2.4
VerifyRequirements
Elements
.1 CharacteristicsofRequirementsandDesignsQuality
Whilequalityisultimatelydeterminedbytheneedsofthestakeholderswhowill
usetherequirementsorthedesigns,acceptablequalityrequirementsexhibit
manyofthefollowingcharacteristics:
Atomic:selfcontainedandcapableofbeingunderstoodindependentlyof
otherrequirementsordesigns.
Complete:enoughtoguidefurtherworkandattheappropriatelevelof
detailforworktocontinue.Thelevelofcompletenessrequireddiffers
basedonperspectiveormethodology,aswellasthepointinthelifecycle
wheretherequirementisbeingexaminedorrepresented.
Concise:containsnoextraneousandunnecessarycontent.
Feasible:reasonableandpossiblewithintheagreeduponrisk,schedule,
andbudget,orconsideredfeasibleenoughtoinvestigatefurtherthrough
experimentsorprototypes.
Unambiguous:therequirementmustbeclearlystatedinsuchawayto
makeitclearwhetherasolutiondoesordoesnotmeettheassociated
need.
Testable:abletoverifythattherequirementordesignhasbeenfulfilled.
Acceptablelevelsofverifyingfulfillmentdependonthelevelofabstraction
oftherequirementordesign.
Prioritized:ranked,grouped,ornegotiatedintermsofimportanceand
valueagainstallotherrequirements.
Understandable:representedusingcommonterminologyoftheaudience.
.2 VerificationActivities
Verificationactivitiesaretypicallyperformediterativelythroughoutthe
requirementsanalysisprocess.
Verificationactivitiesinclude:
checkingforcompliancewithorganizationalperformancestandardsfor
businessanalysis,suchasusingtherighttoolsandmethods,
checkingforcorrectuseofmodellingnotation,templates,orforms,
checkingforcompletenesswithineachmodel,
comparingeachmodelagainstotherrelevantmodels,checkingfor
elementsthatarementionedinonemodelbutaremissinginothermodels,
andverifyingthattheelementsarereferencedconsistently,
ensuringtheterminologyusedinexpressingtherequirementis
understandabletostakeholdersandconsistentwiththeuseofthoseterms
withintheorganization,and
143
Consistent:alignedwiththeidentifiedneedsofthestakeholdersandnot
conflictingwithotherrequirements.
ValidateRequirements
addingexampleswhereappropriateforclarification.
.3 Checklists
Checklistsareusedforqualitycontrolwhenverifyingrequirementsanddesigns.
Checklistsmayincludeastandardsetofqualityelementsthatbusinessanalysts
usetoverifytherequirements,ortheymaybespecificallydevelopedtocapture
issuesofconcern.Thepurposeofachecklististoensurethatitemsdeterminedto
beimportantareincludedinthefinalrequirementsdeliverables,orthatsteps
requiredfortheverificationprocessarefollowed.
7.2.5
GuidelinesandTools
RequirementsLifeCycleManagementTools:sometoolshavefunctionality
tocheckforissuesrelatedtomanyofthecharacteristics,suchasatomic,
unambiguous,andprioritized.
7.2.6
Techniques
AcceptanceandEvaluationCriteria:usedtoensurethatrequirementsare
statedclearlyenoughtodeviseasetofteststhatcanprovethatthe
requirementshavebeenmet.
ItemTracking:usedtoensurethatanyproblemsorissuesidentifiedduring
verificationaremanagedandresolved.
MetricsandKeyPerformanceIndicators(KPIs):usedtoidentifyhowto
evaluatethequalityoftherequirements.
Reviews:usedtoinspectrequirementsdocumentationtoidentifyrequirements
thatarenotofacceptablequality.
7.2.7
Stakeholders
Allstakeholders:thebusinessanalyst,inconjunctionwiththedomainand
implementationsubjectmatterexperts,hastheprimaryresponsibilityfor
determiningthatthistaskhasbeencompleted.Otherstakeholdersmay
discoverproblematicrequirementsduringrequirementscommunication.
Therefore,allstakeholderscouldbeinvolvedinthistask.
7.2.8
Outputs
Requirements(verified):asetofrequirementsordesignsthatisofsufficient
qualitytobeusedasabasisforfurtherwork.
7.3
7.3.1
Purpose
ThepurposeofValidateRequirementsistoensurethatallrequirementsand
144
designsaligntothebusinessrequirementsandsupportthedeliveryofneeded
value.
7.3.2
Description
Requirementsvalidationisanongoingprocesstoensurethatstakeholder,
solution,andtransitionrequirementsaligntothebusinessrequirementsandthat
thedesignssatisfytherequirements.
Understandingwhatthedesiredfuturestatelookslikeforstakeholdersaftertheir
needshavebeenmetisvaluabletobusinessanalystswhenvalidating
requirements.Theoverallgoalofimplementingtherequirementsistoachievethe
stakeholders'desiredfuturestate.Inmanycases,stakeholdershavedifferent,
conflictingneedsandexpectationsthatmaybeexposedthroughthevalidation
process.
Inputs
Requirements(specifiedandmodelled):anytypesofrequirementsand
designscanbevalidated.Validationactivitiesmaybeginbeforerequirements
arecompletelyverified.However,validationactivitiescannotbecompleted
beforerequirementsarecompletelyverified.
Figure7.3.1:ValidateRequirementsInput/OutputDiagram
Input
7.1
Requirements
(specifiedand
modelled)
GuidelinesandTools
BusinessObjectives
7.3
PotentialValue
Output
SolutionScope
7.3
Requirements
(validated)
7.5
DefineDesign
Options
145
8.1
MeasureSolution
Performance
7.3.3
7.3.4
Elements
.1 IdentifyAssumptions
Ifanorganizationislaunchinganunprecedentedproductorservice,itmaybe
necessarytomakeassumptionsaboutcustomerorstakeholderresponse,asthere
arenosimilarpreviousexperiencesonwhichtorely.Inothercases,itmaybe
difficultorimpossibletoprovethataparticularproblemderivesfromanidentified
rootcause.Stakeholdersmayhaveassumedthatcertainbenefitswillresultfrom
theimplementationofarequirement.Theseassumptionsareidentifiedand
definedsothatassociatedriskscanbemanaged.
.2 DefineMeasurableEvaluationCriteria
Whiletheexpectedbenefitsaredefinedaspartofthefuturestate,thespecific
measurementcriteriaandevaluationprocessmaynothavebeenincluded.
Businessanalystsdefinetheevaluationcriteriathatwillbeusedtoevaluatehow
successfulthechangehasbeenafterthesolutionisimplemented.Baseline
metricsmightbeestablishedbasedonthecurrentstate.Targetmetricscanbe
developedtoreflecttheachievementofthebusinessobjectivesorsomeother
measurementofsuccess.
.3 EvaluateAlignmentwithSolutionScope
Arequirementcanbeofbenefittoastakeholderandstillnotbeadesirablepart
ofasolution.Arequirementthatdoesnotdeliverbenefittoastakeholderisa
strongcandidateforelimination.Whenrequirementsdonotalign,eitherthe
futurestatemustbereevaluatedandthesolutionscopechanged,orthe
requirementremovedfromthesolutionscope.
Ifadesigncannotbevalidatedtosupportarequirement,theremightbea
missingormisunderstoodrequirement,orthedesignmustchange.
7.3.5
GuidelinesandTools
BusinessObjectives:ensuretherequirementsdeliverthedesiredbusiness
benefits.
FutureStateDescription:helpstoensuretherequirementsthatarepartof
thesolutionscopedohelpachievethedesiredfuturestate.
PotentialValue:canbeusedasabenchmarkagainstwhichthevalue
deliveredbyrequirementscanbeassessed.
SolutionScope:ensurestherequirementsthatprovidebenefitarewithinthe
scopeofthedesiredsolution.
7.3.6
Techniques
AcceptanceandEvaluationCriteria:usedtodefinethequalitymetricsthat
mustbemettoachieveacceptancebyastakeholder.
146
DocumentAnalysis:usedtoidentifypreviouslydocumentedbusinessneedsin
ordertovalidaterequirements.
FinancialAnalysis:usedtodefinethefinancialbenefitsassociatedwith
requirements.
ItemTracking:usedtoensurethatanyproblemsorissuesidentifiedduring
validationaremanagedandresolved.
MetricsandKeyPerformanceIndicators(KPIs):usedtoselectappropriate
performancemeasuresforasolution,solutioncomponent,orrequirement.
Reviews:usedtoconfirmwhetherornotthestakeholderagreesthattheir
needsaremet.
RiskAnalysisandManagement:usedtoidentifypossiblescenariosthat
wouldalterthebenefitdeliveredbyarequirement.
Stakeholders
Allstakeholders:thebusinessanalyst,inconjunctionwiththecustomer,end
users,andsponsors,hastheprimaryresponsibilityfordeterminingwhetheror
notrequirementsarevalidated.Otherstakeholdersmaydiscoverproblematic
requirementsduringrequirementscommunication.Therefore,virtuallyall
projectstakeholdersareinvolvedinthistask.
7.3.8
Outputs
Requirements(validated):validatedrequirementsanddesignsarethosethat
canbedemonstratedtodeliverbenefittostakeholdersandalignwiththe
businessgoalsandobjectivesofthechange.Ifarequirementordesigncannot
bevalidated,iteitherdoesnotbenefittheorganization,doesnotfallwithinthe
solutionscope,orboth.
147
7.3.7
DefineRequirementsArchitecture
7.4
7.4.1
Purpose
ThepurposeofDefineRequirementsArchitectureistoensurethatthe
requirementscollectivelysupportoneanothertofullyachievetheobjectives.
7.4.2
Description
Requirementsarchitectureisthestructureofalloftherequirementsofachange.
Arequirementsarchitecturefitstheindividualmodelsandspecificationstogether
toensurethatalloftherequirementsformasinglewholethatsupportsthe
overallbusinessobjectivesandproducesausefuloutcomeforstakeholders.
Businessanalystsusearequirementsarchitectureto:
understandwhichmodelsareappropriateforthedomain,solutionscope,
andaudience,
organizerequirementsintostructuresrelevanttodifferentstakeholders,
illustratehowrequirementsandmodelsinteractwithandrelatetoeach
other,andshowhowthepartsfittogetherintoameaningfulwhole,
ensuretherequirementsworktogethertoachievetheoverallobjectives,
and
maketradeoffdecisionsaboutrequirementswhileconsideringtheoverall
objectives.
Requirementsarchitectureisnotintendedtodemonstratetraceability,butrather
toshowhowelementsworkinharmonywithoneanothertosupportthe
businessrequirements,andtostructuretheminvariouswaystoalignthe
viewpointsofdifferentstakeholders.Traceabilityisoftenusedasthemechanism
torepresentandmanagetheserelationships(seeTraceRequirements(p.79)).
Traceabilityprovesthateveryrequirementlinksbacktoanobjectiveandshows
howanobjectivewasmet.Traceabilitydoesnotprovethesolutionisacohesive
wholethatwillwork.
7.4.3
Inputs
InformationManagementApproach:defineshowthebusinessanalysis
information(includingrequirementsandmodels)willbestoredandaccessed.
Requirements(anystate):everyrequirementshouldbestatedonce,andonly
once,andincorporatedintotherequirementsarchitecturesothattheentireset
maybeevaluatedforcompleteness.
SolutionScope:mustbeconsideredtoensuretherequirementsarchitectureis
alignedwiththeboundariesofthedesiredsolution.
148
Figure7.4.1:DefineRequirementsArchitectureInput/OutputDiagram
Input
GuidelinesandTools
3.4
Information
Management
Approach
Requirements
(anystate)
6.4
SolutionScope
ArchitectureManagement
Software
7.4
DefineRequirements
Architecture
Legal/Regulatory
Information
Output
7.4
Requirements
Architecture
7.4.4
5.3
Prioritize
Requirements
5.4
Assess
Requirements
Changes
7.1
SpecifyandModel
Requirements
7.5
DefineDesign
Options
Elements
.1 RequirementsViewpointsandViews
Aviewpointisasetofconventionsthatdefinehowrequirementswillbe
represented,howtheserepresentationswillbeorganized,andhowtheywillbe
related.Viewpointsprovidetemplatesforaddressingtheconcernsofparticular
stakeholdergroups.
Requirementsviewpointsfrequentlyincludestandardsandguidelinesforthe:
modeltypesusedforrequirements,
attributesthatareincludedandconsistentlyusedindifferentmodels,
modelnotationsthatareused,and
analyticalapproachesusedtoidentifyandmaintainrelevantrelationships
amongmodels.
149
Methodologiesand
Framework
Nosingleviewpointalonecanformanentirearchitecture.Eachviewpointis
strongerforsomeaspectsoftherequirements,andweakerforothers,as
differentgroupsofstakeholdershavedifferentconcerns.Tryingtoputtoomuch
informationintoanyoneviewpointwillmakeittoocomplexanddegradeits
purpose.Examplesofviewpointsinclude:
Businessprocessmodels,
Datamodelsandinformation,
Userinteractions,includingusecasesand/oruserexperience,
Auditandsecurity,and
Businessmodels.
Eachofthoseviewpointshasdifferentmodelnotationsandtechniques,andeach
isimportanttoensureacohesivefinalsolution.Thesolutionwouldlikelynotbea
successifthebusinessanalystonlylookedatthebusinessprocessviewpoint.
Similarly,tryingtoputconventionsfrommanyviewpointsinonesingleviewpoint
wouldmakeitoverwhelmingtoanalyzeandcontaininformationirrelevantto
particularstakeholdergroups.
Theactualrequirementsanddesignsforaparticularsolutionfromachosen
viewpointarereferredtoasaview.Acollectionofviewsmakesupthe
requirementsarchitectureforaspecificsolution.Businessanalystsalign,
coordinate,andstructurerequirementsintomeaningfulviewsforthevarious
stakeholders.Thissetofcoordinated,complementaryviewsprovidesabasisfor
assessingthecompletenessandcoherenceoftherequirements.
Inshort,theviewpointstellbusinessanalystswhatinformationtheyshould
provideforeachstakeholdergrouptoaddresstheirconcerns,whileviews
describetheactualrequirementsanddesignsthatareproduced.
.2 TemplateArchitectures
Anarchitecturalframeworkisacollectionofviewpointsthatisstandardacrossan
industry,sector,ororganization.Businessanalystscantreatframeworksas
predefinedtemplatestostartfromindefiningtheirarchitecture.Similarly,the
frameworkcanbepopulatedwithdomainspecificinformationtoforma
collectionofviewsthatisanevenmoreusefultemplatetobuildarchitecturefrom
ifitisaccuratebecausetheinformationisalreadypopulatedinit.
.3 Completeness
Anarchitecturehelpsensurethatasetofrequirementsiscomplete.Theentireset
ofrequirementsshouldbeabletobeunderstoodbytheaudienceinwaythatit
canbedeterminedthatthesetiscohesiveandtellsafullstory.Norequirements
shouldbemissingfromtheset,inconsistentwithothers,orcontradictorytoone
another.Therequirementsarchitectureshouldtakeintoaccountany
dependenciesbetweenrequirementsthatcouldkeeptheobjectivesfrombeing
achieved.
Structuringrequirementsaccordingtodifferentviewpointshelpsensurethis
150
completeness.Iterationsofelicitation,specification,andanalysisactivitiescan
helpidentifygaps.
.4 RelateandVerifyRequirementsRelationships
Requirementsmayberelatedtoeachotherinseveralwayswhendefiningthe
requirementsarchitecture.Businessanalystsexamineandanalyzethe
requirementstodefinetherelationshipsbetweenthem.Therepresentationof
theserelationshipsisprovidedbytracingrequirements(seeTraceRequirements
(p.79)).
Businessanalystsexamineeachrelationshiptoensurethattherelationships
satisfythefollowingqualitycriteria:
Necessary:therelationshipisnecessaryforunderstandingthe
requirementsholistically.
Correct:theelementsdohavetherelationshipdescribed.
Unambiguous:therearenorelationshipsthatlinkelementsintwo
differentandconflictingways.
Consistent:relationshipsaredescribedinthesameway,usingthesameset
ofstandarddescriptionsasdefinedintheviewpoints.
.5 BusinessAnalysisInformationArchitecture
Thestructureofthebusinessanalysisinformationisalsoaninformation
architecture.ThistypeofarchitectureisdefinedaspartofthetaskPlanBusiness
AnalysisInformationManagement(p.42).Theinformationarchitectureisa
componentoftherequirementsarchitecturebecauseitdescribeshowallofthe
businessanalysisinformationforachangerelates.Itdefinesrelationshipsfor
typesofinformationsuchasrequirements,designs,typesofmodels,and
elicitationresults.Understandingthistypeofinformationstructurehelpsto
ensurethatthefullsetofrequirementsiscompletebyverifyingtherelationships
arecomplete.Itisusefultostartdefiningthisarchitecturebeforesettingup
infrastructuresuchasrequirementslifecyclemanagementtools,architecture
managementsoftware,ordocumentrepositories.
7.4.5
GuidelinesandTools
ArchitectureManagementSoftware:modellingsoftwarecanhelpto
managethevolume,complexity,andversionsoftherelationshipswithinthe
requirementsarchitecture.
mustbefollowed.Theymayimpacttherequirementsarchitectureorits
outputs.Additionally,contractualorstandardsbasedconstraintsmayalsoneed
tobeconsidered.
151
Defined:thereisarelationshipandthetypeoftherelationshipis
described.
DefineDesignOptions
MethodologiesandFrameworks:apredeterminedsetofmodels,and
relationshipsbetweenthemodels,tobeusedtorepresentdifferentviewpoints.
7.4.6
Techniques
DataModelling:usedtodescribetherequirementsstructureasitrelatesto
data.
FunctionalDecomposition:usedtobreakdownanorganizationalunit,
productscope,orotherelementsintoitscomponentparts.
Interviews:usedtodefinetherequirementsstructurecollaboratively.
OrganizationalModelling:usedtounderstandthevariousorganizational
units,stakeholders,andtheirrelationshipswhichmighthelpdefinerelevant
viewpoints.
ScopeModelling:usedtoidentifytheelementsandboundariesofthe
Workshops:usedtodefinetherequirementsstructurecollaboratively.
7.4.7
Stakeholders
DomainSubjectMatterExpert,ImplementationSubjectMatterExpert,
ProjectManager,Sponsor,Tester:mayassistindefiningandconfirmingthe
Anystakeholder:mayalsousetherequirementsarchitecturetoassessthe
completenessoftherequirements.
7.4.8
Outputs
RequirementsArchitecture:therequirementsandtheinterrelationships
amongthem,aswellasanycontextualinformationthatisrecorded.
7.5
7.5.1
DefineDesignOptions
Purpose
ThepurposeofDefineDesignOptionsistodefinethesolutionapproach,identify
opportunitiestoimprovethebusiness,allocaterequirementsacrosssolution
components,andrepresentdesignoptionsthatachievethedesiredfuturestate.
7.5.2
Description
Whendesigningasolution,theremaybeoneormoredesignoptionsidentified.
Eachdesignoptionrepresentsawaytosatisfyasetofrequirements.Design
optionsexistatalowerlevelthanthechangestrategy,andaretacticalratherthan
strategic.Asasolutionisdeveloped,tacticaltradeoffsmayneedtobemade
152
DefineDesignOptions
amongdesignalternatives.Businessanalystsmustassesstheeffectthesetrade
offswillhaveonthedeliveryofvaluetostakeholders.Asinitiativesprogressand
requirementsevolve,designoptionsevolveaswell.
7.5.3
Inputs
ChangeStrategy:describestheapproachthatwillbefollowedtotransitionto
thefuturestate.Thismayhavesomeimpactondesigndecisionsintermsof
whatisfeasibleorpossible.
Requirements(validated,prioritized):onlyvalidatedrequirementsare
consideredindesignoptions.Knowingtherequirementprioritiesaidsinthe
suggestionofreasonabledesignoptions.Requirementswiththehighest
prioritiesmightdeservemoreweightinchoosingsolutioncomponentstobest
meetthemascomparedtolowerpriorityrequirements.
Figure7.5.1:DefineDesignOptionsInput/OutputDiagram
Input
GuidelinesandTools
ExistingSolutions
5.3,7.3
Requirements
(validated,
prioritized)
6.4
ChangeStrategy
7.4
Requirements
Architecture
7.5
DefineDesignOptions
Requirements(traced)
Output
SolutionScope
7.5
DesignOptions
6.4
DefineChange
Strategy
153
7.6
AnalyzePotential
Valueand
Recommend
Solution
RequirementsArchitecture:thefullsetofrequirementsandtheir
relationshipsisimportantfordefiningdesignoptionsthatcanaddressthe
holisticsetofrequirements.
DefineDesignOptions
7.5.4
Elements
.1 DefineSolutionApproaches
Thesolutionapproachdescribeswhethersolutioncomponentswillbecreatedor
purchased,orsomecombinationofboth.Businessanalystsassessthemeritsof
thesolutionapproachesforeachdesignoption.
Solutionapproachesinclude:
Create:solutioncomponentsareassembled,constructed,ordevelopedby
expertsasadirectresponsetoasetofrequirements.Therequirementsand
thedesignoptionshaveenoughdetailtomakeadecisionaboutwhich
solutiontoconstruct.Thisoptionincludesmodifyinganexistingsolution.
Purchase:solutioncomponentsareselectedfromasetofofferingsthat
fulfilltherequirements.Therequirementsanddesignoptionshaveenough
detailtomakearecommendationaboutwhichsolutiontopurchase.These
offeringsareusuallyproductsorservicesownedandmaintainedbythird
parties.
Combinationofboth:notalldesignoptionswillfallstrictlyintooneof
thecategoriesabove.Designoptionsmayincludeacombinationofboth
creationandpurchaseofcomponents.
Inallofthesetypesofapproaches,proposedintegrationofthecomponentsis
alsoconsideredwithinthedesignoption.
.2 IdentifyImprovementOpportunities
Whenproposingdesignoptions,anumberofopportunitiestoimprovethe
operationofthebusinessmayoccurandarecompared.
Somecommonexamplesofopportunitiesinclude:
IncreaseEfficiencies:automateorsimplifytheworkpeopleperformbyre
engineeringorsharingprocesses,changingresponsibilities,oroutsourcing.
Automationmayalsoincreaseconsistencyofbehaviour,reducingthe
likelihoodofdifferentstakeholdersperformingthesamefunctionin
distinctlydifferentfashions.
ImproveAccesstoInformation:providegreateramountsofinformation
tostaffwhointerfacedirectlyorindirectlywithcustomers,therebyreducing
theneedforspecialists.
IdentifyAdditionalCapabilities:highlightcapabilitiesthathavethe
potentialtoprovidefuturevalueandcanbesupportedbythesolution.
Thesecapabilitiesmaynotnecessarilybeofimmediatevaluetothe
organization(forexample,asoftwareapplicationwithfeaturesthe
organizationanticipatesusinginthefuture).
.3 RequirementsAllocation
Requirementsallocationistheprocessofassigningrequirementstosolution
componentsandreleasestobestachievetheobjectives.Allocationissupported
154
DefineDesignOptions
byassessingthetradeoffsbetweenalternativesinordertomaximizebenefits
andminimizecosts.Thevalueofasolutionmightvarydependingonhow
requirementsareimplementedandwhenthesolutionbecomesavailableto
stakeholders.Theobjectiveofallocationistomaximizethatvalue.
Requirementsmaybeallocatedbetweenorganizationalunits,jobfunctions,
solutioncomponents,orreleasesofasolution.Requirementsallocationtypically
beginswhenasolutionapproachhasbeendetermined,andcontinuesuntilall
validrequirementsareallocated.Allocationtypicallycontinuesthroughdesign
andimplementationofasolution.
.4 DescribeDesignOptions
Adesignoptionusuallyconsistsofmanydesigncomponents,eachdescribedbya
designelement.Designelementsmaydescribe:
businesspoliciesandbusinessrules,
businessprocessestobeperformedandmanaged,
peoplewhooperateandmaintainthesolution,includingtheirjobfunctions
andresponsibilities,
operationalbusinessdecisionstobemade,
softwareapplicationsandapplicationcomponentsusedinthesolution,and
organizationalstructures,includinginteractionsbetweentheorganization,
itscustomers,anditssuppliers.
7.5.5
GuidelinesandTools
ExistingSolutions:existingproductsorservices,oftenthirdparty,thatare
consideredasacomponentofadesignoption.
FutureStateDescription:identifiesthedesiredstateoftheenterprisethat
thedesignoptionswillbepartof,andhelpstoensuredesignoptionsareviable.
Requirements(traced):definethedesignoptionsthatbestfulfillknown
requirements.
SolutionScope:definestheboundarieswhenselectingviabledesignoptions.
7.5.6
Techniques
BenchmarkingandMarketAnalysis:usedtoidentifyandanalyzeexisting
solutionsandmarkettrends.
Brainstorming:usedtohelpidentifyimprovementopportunitiesanddesign
options.
DocumentAnalysis:usedtoprovideinformationneededtodescribedesign
optionsanddesignelements.
155
Designoptionsareinvestigatedanddevelopedwhileconsideringthedesired
futurestate,andinordertoensurethedesignoptionisvalid.Solution
performancemeasuresaredefinedforeachdesignoption.
DefineDesignOptions
Interviews:usedtohelpidentifyimprovementopportunitiesanddesign
options.
LessonsLearned:usedtohelpidentifyimprovementopportunities.
MindMapping:usedtoidentifyandexplorepossibledesignoptions.
RootCauseAnalysis:usedtounderstandtheunderlyingcauseofthe
problemsbeingaddressedinthechangetoproposesolutionstoaddressthem.
SurveyorQuestionnaire:usedtohelpidentifyimprovementopportunities
anddesignoptions.
VendorAssessment:usedtocoupletheassessmentofathirdpartysolution
withanassessmentofthevendortoensurethatthesolutionisviableandall
partieswillbeabletodevelopandmaintainahealthyworkingrelationship.
Workshops:usedtohelpidentifyimprovementopportunitiesanddesign
options.
7.5.7
Stakeholders
DomainSubjectMatterExpert:providestheexpertisewithinthebusinessto
provideinputandfeedbackwhenevaluatingsolutionalternatives,particularly
forthepotentialbenefitsofasolution.
ImplementationSubjectMatterExpert:usetheirexpertiseintermsofthe
designoptionsbeingconsideredtoprovideneededinputabouttheconstraints
ofasolutionanditscosts.
OperationalSupport:canhelpevaluatethedifficultyandcostsofintegrating
proposedsolutionswithexistingprocessesandsystems.
ProjectManager:plansandmanagesthesolutiondefinitionprocess,
includingthesolutionscopeandanyrisksassociatedwiththeproposed
solutions.
Supplier:providesinformationonthefunctionalityassociatedwithaparticular
designoption.
7.5.8
Outputs
DesignOptions:describevariouswaystosatisfyoneormoreneedsina
context.Theymayincludesolutionapproach,potentialimprovement
opportunitiesprovidedbytheoption,andthecomponentsthatdefinethe
option.
156
7.6
7.6.1
AnalyzePotentialValueandRecommendSolution
Purpose
ThepurposeofAnalyzePotentialValueandRecommendSolutionistoestimate
thepotentialvalueforeachdesignoptionandtoestablishwhichoneismost
appropriatetomeettheenterprisesrequirements.
7.6.2
Description
Designoptionsareevaluatedbycomparingthepotentialvalueofeachoptionto
theotheroptions.Eachoptionhasamixofadvantagesanddisadvantagesto
consider.Dependingonthereasonsforthechange,theremaybenobestoption
torecommend,ortheremaybeaclearbestchoice.Insomecasesthismeansthe
bestoptionmaybetobeginworkagainstmorethanonedesignoption,perhaps
todevelopproofsofconcept,andthenmeasuretheperformanceofeach.In
otherinstances,allproposeddesignsmayberejectedandmoreanalysismaybe
neededtodefineasuitabledesign.Itisalsopossiblethatthebest
recommendationistodonothing.
7.6.3
Inputs
PotentialValue:canbeusedasabenchmarkagainstwhichthevalue
deliveredbyadesigncanbeevaluated.
DesignOptions:needtobeevaluatedandcomparedtooneanotherto
recommendoneoptionforthesolution.
157
AnalyzePotentialValueandRecommendSolutiondescribeshowtoestimateand
modelthepotentialvaluedeliveredbyasetofrequirements,designs,ordesign
options.Potentialvalueisanalyzedmanytimesoverthecourseofachange.This
analysismaybeaplannedevent,oritmaybetriggeredbyamodificationtothe
contextorscopeofthechange.Theanalysisofpotentialvalueincludes
considerationthatthereisuncertaintyintheestimates.Valuecanbedescribedin
termsoffinance,reputation,orevenimpactonthemarketplace.Anychange
mayincludeamixofincreasesanddecreasesinvalue.
Figure7.6.1:AnalyzePotentialValueandRecommendSolutionInput/Output
Diagram
Input
GuidelinesandTools
6.2
PotentialValue
BusinessObjectives
7.5
DesignOptions
7.6
AnalyzePotentialValueand
RecommendSolution
Output
RiskAnalysisResults
7.6
Solution
Recommendation
SolutionScope
6.4
DefineChange
Strategy
7.6.4
Elements
.1 ExpectedBenefits
Expectedbenefitsdescribethepositivevaluethatasolutionisintendedtodeliver
tostakeholders.Valuecanincludebenefits,reducedrisk,compliancewith
businesspoliciesandregulations,animproveduserexperience,oranyother
positiveoutcome.Benefitsaredeterminedbasedontheanalysisofthebenefit
thatstakeholdersdesireandthebenefitthatispossibletoattain.Expected
benefitscanbecalculatedatthelevelofarequirementorsetofrequirementsby
consideringhowmuchofanoverallbusinessobjectivethesetofrequirements
contributetoiffulfilled.Thetotalexpectedbenefitisthenetbenefitofallthe
requirementsaparticulardesignoptionaddresses.Benefitsareoftenrealizedover
aperiodoftime.
.2 ExpectedCosts
Expectedcostsincludeanypotentialnegativevalueassociatedwithasolution,
includingthecosttoacquirethesolution,anynegativeeffectsitmayhaveon
158
stakeholders,andthecosttomaintainitovertime.
Expectedcostscaninclude:
timeline,
maintenancecosts,
effort,
physicalresources,
operatingcosts,
informationresources,and
purchaseand/orimplementation
costs,
humanresources.
Expectedcostsforadesignoptionconsiderthecumulativecostsofthedesign
components.
.3 DetermineValue
Thepotentialvalueofasolutiontoastakeholderisbasedonthebenefits
deliveredbythatsolutionandtheassociatedcosts.Valuecanbepositive(ifthe
benefitsexceedthecosts)ornegative(ifthecostsexceedthebenefits).
Businessanalystsconsiderpotentialvaluefromthepointsofviewofstakeholders.
Valuetotheenterpriseisalmostalwaysmoreheavilyweightedthanvalueforany
individualstakeholdergroups.Theremightbeincreasesinvalueforonesetof
stakeholdersanddecreasesinvalueforanotherset,butanoverallpositive
increaseinvaluefortheenterpriseasawholejustifiesproceedingwiththe
change.
Potentialvalueisuncertainvalue.Therearealwayseventsorconditionsthat
couldincreaseordecreasetheactualvalueiftheyoccur.Manychangesare
proposedintermsofintangibleoruncertainbenefits,whilecostsaredescribedas
tangible,absolute,andmightgrow.Whenbenefitsaredescribedasintangible
andcostsexpressedastangible,itmaybedifficultfordecisionmakerstocompare
theiroptions.Businessanalystsdefineacompleteestimateofthepurposedriven
andmonetaryeffectsofaproposedchangebyconsideringthetangibleand
intangiblecostsalongsidethetangibleandintangiblebenefits.Theestimateof
costsandbenefitsmusttakeintoaccountthedegreeofuncertaintypertainingat
thetimetheestimatesaremade.
.4 AssessDesignOptionsandRecommendSolution
Eachdesignoptionisassessedbasedonthepotentialvalueitisexpectedto
deliver.Atanypointinanalyzingthedesignoptions,itmaybecomenecessaryto
reevaluatetheinitialallocationofdesignelementsbetweencomponents.The
reasonsforreevaluationincludebetterunderstandingofthecosttoimplement
159
Businessanalystsalsoconsideropportunitycostwhenestimatingtheexpected
costofachange.Opportunitycostsarealternativeresultsthatmighthavebeen
achievediftheresources,time,andfundsdevotedtoonedesignoptionhadbeen
allocatedtoanotherdesignoption.Theopportunitycostofanydesignoptionis
equaltothevalueofthebestalternativenotselected.
eachcomponentandtodeterminewhichallocationshavethebestcostto
benefitratio.
Ascostsandeffortareunderstoodforeachsolutioncomponent,business
analystsassesseachdesignoptiontoensurethatitrepresentsthemosteffective
tradeoffs.Thereareseveralfactorstotakeintoconsideration:
AvailableResources:theremaybelimitationsregardingtheamountof
requirementsthatcanbeimplementedbasedontheallocatedresources.In
someinstances,abusinesscasecanbedevelopedtojustifyadditional
investment.
ConstraintsontheSolution:regulatoryrequirementsorbusiness
decisionsmayrequirethatcertainrequirementsbehandledmanuallyor
automatically,orthatcertainrequirementsbeprioritizedaboveallothers.
DependenciesbetweenRequirements:somecapabilitiesmayinandof
themselvesprovidelimitedvaluetotheorganization,butneedtobe
deliveredinordertosupportotherhighvaluerequirements.
Otherconsiderationsmayincluderelationshipswithproposedvendors,
dependenciesonotherinitiatives,corporateculture,andsufficientcashflowfor
investment.
Businessanalystsrecommendtheoptionoroptionsdeemedtobethemost
valuablesolutiontoaddresstheneed.Itispossiblethatnoneofthedesign
optionsareworthwhileandthebestrecommendationistodonothing.
7.6.5
GuidelinesandTools
BusinessObjectives:usedtocalculatetheexpectedbenefit.
tobecompleted.Itcanbeusedtoidentifyandhelpquantifythevaluetobe
deliveredfromapotentialsolution.
FutureStateDescription:describesthedesiredfuturestatethatthesolution
willbepartofinordertoensurethedesignoptionsareappropriate.
RiskAnalysisResults:thepotentialvalueofdesignoptionsincludesan
assessmentofthelevelofriskassociatedwiththedesignoptionsorinitiative.
SolutionScope:definesthescopeofthesolutionthatisbeingdeliveredso
thatarelevantevaluationcanbemadethatiswithinthescopeboundaries.
7.6.6
Techniques
AcceptanceandEvaluationCriteria:usedtoexpressrequirementsinthe
formofacceptancecriteriatomakethemmostusefulwhenassessingproposed
solutionsanddeterminingwhetherasolutionmeetsthedefinedbusiness
needs.
BacklogManagement:usedtosequencethepotentialvalue.
160
Brainstorming:usedtoidentifypotentialbenefitsoftherequirementsina
collaborativemanner.
BusinessCases:usedtoassessrecommendationsagainstbusinessgoalsand
objectives.
BusinessModelCanvas:usedasatooltohelpunderstandstrategyand
initiatives.
DecisionAnalysis:usedtosupporttheassessmentandrankingofdesign
options.
Estimation:usedtoforecastthecostsandeffortsofmeetingtherequirements
asasteptowardsestimatingtheirvalue.
FocusGroups:usedtogetstakeholderinputonwhichdesignoptionsbest
meettherequirements,andtoevaluateatargeted,smallgroupofstakeholders
valueexpectations.
Interviews:usedtogetstakeholderinputonwhichdesignoptionsbestmeet
therequirements,andtoevaluateindividualstakeholdersvalueexpectations.
MetricsandKeyPerformanceIndicators(KPIs):usedtocreateandevaluate
themeasurementsusedindefiningvalue.
RiskAnalysisandManagement:usedtoidentifyandmanagetherisksthat
couldaffectthepotentialvalueoftherequirements.
SurveyorQuestionnaire:usedtogetstakeholderinputonwhichdesign
optionsbestmeettherequirements,andtoidentifystakeholdersvalue
expectations.
SWOTAnalysis:usedtoidentifyareasofstrengthandweaknessthatwill
impactthevalueofthesolutions.
Workshops:usedtogetstakeholderinputonwhichdesignoptionsbestmeet
therequirements,andtoevaluatestakeholdersvalueexpectations.
7.6.7
Stakeholders
Customer:representsthemarketsegmentsaffectedbytherequirementsand
solutions,andwillbeinvolvedinanalyzingthebenefitofthoserequirements
andcostsofthedesignoptions.
DomainSubjectMatterExpert:maybecalleduponfortheirdomain
knowledgetoassistinanalyzingpotentialvalueandbenefits,particularlyfor
thoserequirementswheretheyarehardertoidentify.
EndUser:providesaninsightintothepotentialvalueofthechange.
ImplementationSubjectMatterExpert:maybecalleduponfortheir
expertiseinimplementingthedesignoptionsinordertoidentifypotentialcosts
andrisks.
161
FinancialAnalysis:usedtoevaluatethefinancialreturnofdifferentoptions
andchoosethebestpossiblereturnoninvestment.
ProjectManager:managestheselectionprocesssothatwheneffectingthe
changetheyareawareofpotentialimpactsonthosesupportingthechange,
includingtherisksassociatedwiththechange.
Regulator:maybeinvolvedinriskevaluationconcerningoutsideregulatory
bodiesorplaceconstraintsonthepotentialbenefits.
Sponsor:approvestheexpenditureofresourcestopurchaseordevelopa
solutionandapprovethefinalrecommendation.Thesponsorwillwanttobe
keptinformedofanychangesinpotentialvalueorrisk,aswellastheresulting
opportunitycost,ashe/shemaypreferanothercourseofaction.
7.6.8
Outputs
SolutionRecommendation:identifiesthesuggested,mostappropriate
solutionbasedonanevaluationofalldefineddesignoptions.The
recommendedsolutionshouldmaximizethevalueprovidedtotheenterprise.
162
TheSolutionEvaluationknowledgeareadescribesthetasksthatbusinessanalysts
performtoassesstheperformanceofandvaluedeliveredbyasolutioninuseby
theenterprise,andtorecommendremovalofbarriersorconstraintsthatprevent
thefullrealizationofthevalue.
WhiletheremaybesomesimilaritiestotheactivitiesperformedinStrategy
Analysis(p.99),orRequirementsAnalysisandDesignDefinition(p.133),an
importantdistinctionbetweentheSolutionEvaluationknowledgeareaandother
knowledgeareasistheexistenceofanactualsolution.Itmayonlybeapartial
solution,butthesolutionorsolutioncomponenthasalreadybeenimplemented
andisoperatinginsomeform.SolutionEvaluationtasksthatsupportthe
realizationofbenefitsmayoccurbeforeachangeisinitiated,whilecurrentvalue
isassessed,orafterasolutionhasbeenimplemented.
SolutionEvaluationtaskscanbeperformedonsolutioncomponentsinvarying
stagesofdevelopment:
PrototypesorProofsofConcept:workingbutlimitedversionsofa
solutionthatdemonstratevalue.
PilotorBetareleases:limitedimplementationsorversionsofasolution
usedinordertoworkthroughproblemsandunderstandhowwellit
actuallydeliversvaluebeforefullyreleasingthesolution.
Operationalreleases:fullversionsofapartialorcompletedsolutionused
toachievebusinessobjectives,executeaprocess,orfulfilladesired
outcome.
SolutionEvaluationdescribestasksthatanalyzetheactualvaluebeingdelivered,
identifieslimitationswhichmaybepreventingvaluefrombeingrealized,and
163
SolutionEvaluation
SolutionEvaluation
makesrecommendationstoincreasethevalueofthesolution.Itmayincludeany
combinationofperformanceassessments,tests,andexperiments,andmay
combinebothobjectiveandsubjectiveassessmentsofvalue.SolutionEvaluation
generallyfocusesonacomponentofanenterpriseratherthantheentire
enterprise.
StrategyAnalysis
Potential
Need
Solution
Scope
&DesignDefinition
SolutionEvaluation
Requirements
ProofofConcept/
Pilot/Beta
Prototype
Design
Actual
Operating
TheSolutionEvaluationknowledgeareaincludesthefollowingtasks:
MeasureSolutionPerformance:determinesthemostappropriatewayto
assesstheperformanceofasolution,includinghowitalignswithenterprise
goalsandobjectives,andperformstheassessment.
AnalyzePerformanceMeasures:examinesinformationregardingthe
performanceofasolutioninordertounderstandthevalueitdeliverstothe
enterpriseandtostakeholders,anddetermineswhetheritismeeting
currentbusinessneeds.
AssessSolutionLimitations:investigatesissueswithinthescopeofa
solutionthatmaypreventitfrommeetingcurrentbusinessneeds.
AssessEnterpriseLimitations:investigatesissuesoutsidethescopeofa
solutionthatmaybepreventingtheenterprisefromrealizingthefullvalue
thatasolutioniscapableofproviding.
RecommendActionstoIncreaseSolutionValue:identifiesanddefines
actionstheenterprisecantaketoincreasethevaluethatcanbedelivered
byasolution.
TheCoreConceptModelinSolutionEvaluation
usageandapplicationofeachofthecoreconceptswithinthecontextofSolution
Evaluation.
164
SolutionEvaluation
Table8.0.1::TheCoreConceptModelinSolutionEvaluation
DuringSolutionEvaluation,business
analysts...
inresponsetoaneed.
recommendachangetoeitherasolution
ortheenterpriseinordertorealizethe
potentialvalueofasolution.
beaddressed.
evaluatehowasolutionorsolution
componentisfulfillingtheneed.
context.
assesstheperformanceofthesolution,
examineifitisdeliveringthepotential
value,andanalyzewhyvaluemaynotbe
realizedbythesolutionorsolution
component.
solution.
elicitinformationfromthestakeholders
aboutsolutionperformanceandvalue
delivery.
determineifthesolutionisdeliveringthe
potentialvalueandexaminewhyvalue
maynotbebeingrealized.
change.
considerthecontextindetermining
solutionperformancemeasuresandany
limitationswithinthecontextthatmay
prohibitvaluefrombeingrealized.
165
CoreConcept
MeasureSolutionPerformance
SolutionEvaluation
Figure8.0.2:SolutionEvaluationInput/OutputDiagram
Input
ImplementedSolution
(external)
6.1
CurrentState
Description
6.2
BusinessObjectives
6.2
PotentialValue
Tasks
8.1
MeasureSolution
Performance
8.2
Analyze
Performance
Measures
8.4
AssessEnterprise
Limitations
8.3
AssessSolution
Limitations
8.5
Recommend
ActionstoIncrease
SolutionValue
Output
8.1
8.2
SolutionPerformance SolutionPerformance
Measures
Analysis
8.4
EnterpriseLimitation
8.1
8.1.1
8.3
SolutionLimitation
8.5
RecommendActions
Purpose
ThepurposeofMeasureSolutionPerformanceistodefineperformancemeasures
andusethedatacollectedtoevaluatetheeffectivenessofasolutioninrelationto
thevalueitbrings.
166
SolutionEvaluation
8.1.2
Description
Performancemeasuresdeterminethevalueofanewlydeployedorexisting
solution.Themeasuresuseddependonthesolutionitself,thecontext,andhow
theorganizationdefinesvalue.Whensolutionsdonothavebuiltinperformance
measures,thebusinessanalystworkswithstakeholderstodetermineandcollect
themeasuresthatwillbestreflecttheperformanceofasolution.Performance
maybeassessedthroughkeyperformanceindicators(KPIs)alignedwith
enterprisemeasures,goalsandobjectivesforaproject,processperformance
targets,ortestsforasoftwareapplication.
8.1.3
Inputs
ImplementedSolution(external):asolution(orcomponentofasolution)
thatexistsinsomeform.Itmaybeanoperatingsolution,aprototype,orapilot
orbetasolution.
Figure8.1.1:MeasureSolutionPerformanceInput/OutputDiagram
Input
Implemented
Solution
(external)
GuidelinesandTools
ChangeStrategy
6.2
Business
Objectives
8.1
Requirements(validated)
Output
SolutionScope
8.1
Solution
Performance
Measures
6.1
AnalyzeCurrent
State
167
8.2
Analyze
Performance
Measures
BusinessObjectives:themeasurableresultsthattheenterprisewantsto
achieve.Providesabenchmarkagainstwhichsolutionperformancecanbe
assessed.
8.1.4
SolutionEvaluation
Elements
.1 DefineSolutionPerformanceMeasures
Whenmeasuringsolutionperformance,businessanalystsdetermineifcurrent
measuresexist,orifmethodsforcapturingthemareinplace.Businessanalysts
ensurethatanyexistingperformancemeasuresareaccurate,relevantandelicit
anyadditionalperformancemeasuresidentifiedbystakeholders.
Businessgoals,objectives,andbusinessprocessesarecommonsourcesof
measures.Performancemeasuresmaybeinfluencedorimposedbythirdparties
suchassolutionvendors,governmentbodies,orotherregulatoryorganizations.
Thetypeandnatureofthemeasurementsareconsideredwhenchoosingthe
elicitationmethod.Solutionperformancemeasuresmaybequantitative,
qualitative,orboth,dependingonthevaluebeingmeasured.
QuantitativeMeasures:arenumerical,countable,orfinite,usually
involvingamounts,quantities,orrates.
QualitativeMeasures:aresubjectiveandcanincludeattitudes,
perceptions,andanyothersubjectiveresponse.Customers,users,and
othersinvolvedintheoperationofasolutionhaveperceptionsofhowwell
thesolutionismeetingtheneed.
.2 ValidatePerformanceMeasures
Validatingperformancemeasureshelpstoensurethattheassessmentofsolution
performanceisuseful.Businessanalystsvalidatetheperformancemeasuresand
anyinfluencingcriteriawithstakeholders.Specificperformancemeasuresshould
alignwithanyhigherlevelmeasuresthatexistwithinthecontextaffectingthe
solution.Decisionsaboutwhichmeasuresareusedtoevaluatesolution
performanceoftenresidewiththesponsor,butmaybemadebyanystakeholder
withdecisionmakingauthority.
.3 CollectPerformanceMeasures
Whendefiningperformancemeasures,businessanalystsmayemploybasic
statisticalsamplingconcepts.
Whencollectingperformancemeasures,businessanalystsconsider:
VolumeorSampleSize:avolumeorsamplesizeappropriateforthe
initiativeisselected.Asamplesizethatistoosmallmightskewtheresults
andleadtoinaccurateconclusions.Largersamplesizesmaybemore
desirable,butmaynotbepracticaltoobtain.
FrequencyandTiming:thefrequencyandtimingwithwhich
measurementsaretakenmayhaveaneffectontheoutcome.
Currency:measurementstakenmorerecentlytendtobemore
representativethanolderdata.
Usingqualitativemeasures,businessanalystscanfacilitatediscussionstoestimate
thevaluerealizedbyasolution.Stakeholdersknowledgeableabouttheoperation
168
SolutionEvaluation
anduseofthesolutionreachaconsensusbasedonfactsandreasonable
assumptions,asperceivedbythem.
8.1.5
GuidelinesandTools
ChangeStrategy:thechangestrategyusedorinusetoimplementthe
potentialvalue.
FutureStateDescription:boundariesoftheproposednew,removed,or
modifiedcomponentsoftheenterprise,andthepotentialvalueexpectedfrom
thefuturestate.
Requirements(validated):asetofrequirementsthathavebeenanalyzedand
appraisedtodeterminetheirvalue.
SolutionScope:thesolutionboundariestomeasureandevaluate.
Techniques
AcceptanceandEvaluationCriteria:usedtodefineacceptablesolution
performance.
BenchmarkingandMarketAnalysis:usedtodefinemeasuresandtheir
acceptablelevels.
BusinessCases:usedtodefinebusinessobjectivesandperformancemeasures
foraproposedsolution.
DataMining:usedtocollectandanalyzelargeamountsofdataregarding
solutionperformance.
DecisionAnalysis:usedtoassiststakeholdersindecidingonsuitablewaysto
measuresolutionperformanceandacceptablelevelsofperformance.
FocusGroups:usedtoprovidesubjectiveassessments,insights,and
impressionsofasolutionsperformance.
MetricsandKeyPerformanceIndicators(KPIs):usedtomeasuresolution
performance.
NonFunctionalRequirementsAnalysis:usedtodefineexpected
characteristicsofasolution.
Observation:usedeithertoprovidefeedbackonperceptionsofsolution
performanceortoreconcilecontradictoryresults.
Prototyping:usedtosimulateanewsolutionsothatperformancemeasures
canbedeterminedandcollected.
SurveyorQuestionnaire:usedtogatheropinionsandattitudesabout
solutionperformance.Surveysandquestionnairescanbeeffectivewhenlarge
ordisparategroupsneedtobepolled.
UseCasesandScenarios:usedtodefinetheexpectedoutcomesofa
solution.
VendorAssessment:usedtoassesswhichofthevendorsperformance
measuresshouldbeincludedinthesolutionsperformanceassessment.
169
8.1.6
AnalyzePerformanceMeasures
8.1.7
SolutionEvaluation
Stakeholders
Customer:maybeconsultedtoprovidefeedbackonsolutionperformance.
DomainSubjectMatterExpert:apersonfamiliarwiththedomainwhocan
beconsultedtoprovidepotentialmeasurements.
EndUser:contributestotheactualvaluerealizedbythesolutionintermsof
solutionperformance.Theymaybeconsultedtoprovidereviewsandfeedback
onareassuchasworkloadandjobsatisfaction.
ProjectManager:responsibleformanagingthescheduleandtaskstoperform
thesolutionmeasurement.Forsolutionsalreadyinoperation,thisrolemaynot
berequired.
Sponsor:responsibleforapprovingthemeasuresusedtodeterminesolution
performance.Mayalsoprovideperformanceexpectations.
Regulator:anexternalorinternalgroupthatmaydictateorprescribe
constraintsandguidelinesthatmustbeincorporatedintosolutionperformance
measures.
8.1.8
Outputs
SolutionPerformanceMeasures:measuresthatprovideinformationonhow
wellthesolutionisperformingorpotentiallycouldperform.
8.2
8.2.1
Purpose
ThepurposeofAnalyzePerformanceMeasuresistoprovideinsightsintothe
performanceofasolutioninrelationtothevalueitbrings.
8.2.2
Description
ThemeasurescollectedinthetaskMeasureSolutionPerformance(p.166)often
requireinterpretationandsynthesistoderivemeaningandtobeactionable.
Performancemeasuresthemselvesrarelytriggeradecisionaboutthevalueofa
solution.
Inordertomeaningfullyanalyzeperformancemeasures,businessanalystsrequire
athoroughunderstandingofthepotentialvaluethatstakeholdershopeto
achievewiththesolution.Toassistintheanalysis,variablessuchasthegoalsand
objectivesoftheenterprise,keyperformanceindicators(KPIs),thelevelofriskof
thesolution,therisktoleranceofbothstakeholdersandtheenterprise,andother
statedtargetsareconsidered.
8.2.3
Inputs
PotentialValue:describesthevaluethatmayberealizedbyimplementingthe
proposedfuturestate.Itcanbeusedasabenchmarkagainstwhichsolution
performancecanbeevaluated.
170
SolutionEvaluation
SolutionPerformanceMeasures:measuresandprovidesinformationon
howwellthesolutionisperformingorpotentiallycouldperform.
Figure8.2.1:AnalyzePerformanceMeasuresInput/OutputDiagram
Input
GuidelinesandTools
8.1
Solution
Performance
Measures
6.2
PotentialValue
ChangeStrategy
RiskAnalysisResults
Output
SolutionScope
8.2
Solution
Performance
Analysis
8.3
AssessSolution
Limitations
8.2.4
8.4
AssessEnterprise
Limitations
Elements
.1 SolutionPerformanceversusDesiredValue
Businessanalystsexaminethemeasurespreviouslycollectedinordertoassess
theirabilitytohelpstakeholdersunderstandthesolutionsvalue.Asolutionmight
behighperforming,suchasanefficientonlinetransactionprocessingsystem,but
contributeslowervaluethanexpected(orcomparedtowhatithadcontributedin
thepast).Ontheotherhand,alowperformingbutpotentiallyvaluablesolution,
suchasacoreprocessthatisinefficient,canbeenhancedtoincreaseits
performancelevel.Ifthemeasuresarenotsufficienttohelpstakeholders
determinesolutionvalue,businessanalystseithercollectmoremeasurementsor
treatthelackofmeasuresasasolutionrisk.
.2 Risks
Performancemeasuresmayuncovernewriskstosolutionperformanceandtothe
enterprise.Theserisksareidentifiedandmanagedlikeanyotherrisks.
171
8.2
AnalyzePerformance
Measures
SolutionEvaluation
.3 Trends
Whenanalyzingperformancedata,businessanalystsconsiderthetimeperiod
whenthedatawascollectedtoguardagainstanomaliesandskewedtrends.A
largeenoughsamplesizeoverasufficienttimeperiodwillprovideanaccurate
depictionofsolutionperformanceonwhichtomakedecisionsandguardagainst
falsesignalsbroughtaboutbyincompletedata.Anypronouncedandrepeated
trends,suchasanoticeableincreaseinerrorsatcertaintimesorachangein
processspeedwhenvolumeisincreased,arenoted.
.4 Accuracy
Theaccuracyofperformancemeasuresisessentialtothevalidityoftheiranalysis.
Businessanalyststestandanalyzethedatacollectedbytheperformance
measurestoensuretheiraccuracy.Tobeconsideredaccurateandreliable,the
resultsofperformancemeasuresshouldbereproducibleandrepeatable.
.5 PerformanceVariances
Thedifferencebetweenexpectedandactualperformancerepresentsavariance
thatisconsideredwhenanalyzingsolutionperformance.Rootcauseanalysismay
benecessarytodeterminetheunderlyingcausesofsignificantvarianceswithina
solution.Recommendationsofhowtoimproveperformanceandreduceany
variancesaremadeinthetaskRecommendActionstoIncreaseSolutionValue
(p.182).
8.2.5
GuidelinesandTools
ChangeStrategy:thechangestrategythatwasusedorisinusetoimplement
thepotentialvalue.
FutureStateDescription:boundariesoftheproposednew,modified,or
removedcomponentsoftheenterpriseandthepotentialvalueexpectedfrom
thefuturestate.
RiskAnalysisResults:theoveralllevelofriskandtheplannedapproachto
modifyingtheindividualrisks.
8.2.6
Techniques
AcceptanceandEvaluationCriteria:usedtodefineacceptablesolution
performancethroughacceptancecriteria.Thedegreeofvariancefromthese
criteriawillguidetheanalysisofthatperformance.
BenchmarkingandMarketAnalysis:usedtoobservetheresultsofother
organizationsemployingsimilarsolutionswhenassessingrisks,trends,and
variances.
DataMining:usedtocollectdataregardingperformance,trends,common
issues,andvariancesfromexpectedperformancelevelsandunderstand
patternsandmeaninginthatdata.
172
SolutionEvaluation
AssessSolutionLimitations
Interviews:usedtodetermineexpectedvalueofasolutionanditsperceived
performancefromanindividualorsmallgroup'sperspective.
MetricsandKeyPerformanceIndicators(KPIs):usedtoanalyzesolution
performance,especiallywhenjudginghowwellasolutioncontributesto
achievinggoals.
Observation:usedtoobserveasolutioninactionifthedatacollecteddoesnot
providedefinitiveconclusions.
RiskAnalysisandManagement:usedtoidentify,analyze,developplansto
modifytherisks,andtomanagetherisksonanongoingbasis.
RootCauseAnalysis:usedtodeterminetheunderlyingcauseofperformance
variance.
8.2.7
Stakeholders
DomainSubjectMatterExpert:canidentifyrisksandprovideinsightsinto
dataforanalyzingsolutionperformance.
ProjectManager:withinaproject,responsibleforoverallriskmanagement
andmayparticipateinriskanalysisforneworchangedsolutions.
Sponsor:canidentifyrisks,provideinsightsintodataandthepotentialvalueof
asolution.Theywillmakedecisionsaboutthesignificanceofexpectedversus
actualsolutionperformance.
8.2.8
Outputs
SolutionPerformanceAnalysis:resultsoftheanalysisofmeasurements
collectedandrecommendationstosolveperformancegapsandleverage
opportunitiestoimprovevalue.
8.3
8.3.1
Purpose
ThepurposeofAssessSolutionLimitationsistodeterminethefactorsinternalto
thesolutionthatrestrictthefullrealizationofvalue.
8.3.2
Description
Assessingsolutionlimitationsidentifiestherootcausesforunderperformingand
ineffectivesolutionsandsolutioncomponents.
AssessSolutionLimitationsiscloselylinkedtothetaskAssessEnterprise
Limitations(p.177).Thesetasksmaybeperformedconcurrently.Ifthesolution
173
SurveyorQuestionnaire:usedtodetermineexpectedvalueofasolutionand
itsperceivedperformance.
SolutionEvaluation
hasnotmetitspotentialvalue,businessanalystsdeterminewhichfactors,both
internalandexternaltothesolution,arelimitingvalue.Thistaskfocusesonthe
assessmentofthosefactorsinternaltothesolution.
Thisassessmentmaybeperformedatanypointduringthesolutionlifecycle.It
mayoccuronasolutioncomponentduringitsdevelopment,onacompleted
solutionpriortofullimplementation,oronanexistingsolutionthatiscurrently
workingwithinanorganization.Regardlessofthetiming,theassessment
activitiesaresimilarandinvolvethesameconsiderations.
8.3.3
Inputs
ImplementedSolution(external):asolutionthatexists.Thesolutionmayor
maynotbeinoperationaluseitmaybeaprototype.Thesolutionmustbein
useinsomeforminordertobeevaluated.
collectedandrecommendationstosolveforperformancegapsandleverage
Figure8.3.1:AssessSolutionLimitationsInput/OutputDiagram
Input
GuidelinesandTools
8.2
Solution
Performance
Analysis
Implemented
Solution(external)
ChangeStrategy
8.3
RiskAnalysisResults
Output
SolutionScope
8.3
SolutionLimitation
6.1
AnalyzeCurrent
State
174
8.5
Recommend
ActionstoIncrease
SolutionValue
SolutionEvaluation
8.3.4
Elements
.1 IdentifyInternalSolutionComponentDependencies
Solutionsoftenhaveinternaldependenciesthatlimittheperformanceoftheentire
solutiontotheperformanceoftheleasteffectivecomponent.Assessmentofthe
overallperformanceofthesolutionoritscomponentsisperformedinthetasks
MeasureSolutionPerformance(p.166)andAnalyzePerformanceMeasures
(p.170).Businessanalystsidentifysolutioncomponentswhichhavedependencies
onothersolutioncomponents,andthendetermineifthereisanythingaboutthose
dependenciesorothercomponentsthatlimitsolutionperformanceandvalue
realization.
.2 InvestigateSolutionProblems
Businessanalystsidentifyproblemsinasolutionorsolutioncomponentby
examininginstanceswheretheoutputsfromthesolutionarebelowan
acceptablelevelofqualityorwherethepotentialvalueisnotbeingrealized.
Problemsmaybeindicatedbyaninabilitytomeetastatedgoal,objective,or
requirement,ormaybeafailuretorealizeabenefitthatwasprojectedduringthe
tasksDefineChangeStrategy(p.124)orRecommendActionstoIncrease
SolutionValue(p.182).
.3 ImpactAssessment
Businessanalystsreviewidentifiedproblemsinordertoassesstheeffecttheymay
haveontheoperationoftheorganizationortheabilityofthesolutiontodeliver
itspotentialvalue.Thisrequiresdeterminingtheseverityoftheproblem,the
probabilityofthereoccurrenceoftheproblem,theimpactonthebusiness
operations,andthecapacityofthebusinesstoabsorbtheimpact.Business
analystsidentifywhichproblemsmustberesolved,whichcanbemitigated
throughotheractivitiesorapproaches,andwhichcanbeaccepted.
Otheractivitiesorapproachesmayincludeadditionalqualitycontrolmeasures,
neworadjustedbusinessprocesses,oradditionalsupportforexceptionstothe
desiredoutcome.
Inadditiontoidentifiedproblems,businessanalystsassessriskstothesolution
andpotentiallimitationsofthesolution.Thisriskassessmentisspecifictothe
solutionanditslimitations.
8.3.5
GuidelinesandTools
potentialvalue.
175
Whenitisdeterminedthatthesolutionisconsistentlyorrepeatedlyproducing
ineffectiveoutputs,problemanalysisisperformedinordertoidentifythesource
oftheproblem.
SolutionEvaluation
RisksAnalysisResults:theoveralllevelofriskandtheplannedapproachto
8.3.6
Techniques
AcceptanceandEvaluationCriteria:usedbothtoindicatethelevelatwhich
acceptancecriteriaaremetoranticipatedtobemetbythesolutionandto
identifyanycriteriathatarenotmetbythesolution.
BenchmarkingandMarketAnalysis:usedtoassessifotherorganizations
areexperiencingthesamesolutionchallengesand,ifpossible,determinehow
theyareaddressingit.
BusinessRulesAnalysis:usedtoillustratethecurrentbusinessrulesandthe
changesrequiredtoachievethepotentialvalueofthechange.
DataMining:usedtoidentifyfactorsconstrainingperformanceofthe
solution.
DecisionAnalysis:usedtoillustratethecurrentbusinessdecisionsandthe
changesrequiredtoachievethepotentialvalueofthechange.
Interviews:usedtohelpperformproblemanalysis.
ItemTracking:usedtorecordandmanagestakeholderissuesrelatedtowhy
thesolutionisnotmeetingthepotentialvalue.
LessonsLearned:usedtodeterminewhatcanbelearnedfromtheinception,
definition,andconstructionofthesolutiontohavepotentiallyimpactedits
abilitytodelivervalue.
RiskAnalysisandManagement:usedtoidentify,analyze,andmanagerisks,
astheyrelatetothesolutionanditspotentiallimitations,thatmayimpedethe
realizationofpotentialvalue.
RootCauseAnalysis:usedtoidentifyandunderstandthecombinationof
factorsandtheirunderlyingcausesthatledtothesolutionbeingunableto
deliveritspotentialvalue.
SurveyorQuestionnaire:usedtohelpperformproblemanalysis.
8.3.7
Stakeholders
Customer:isultimatelyaffectedbyasolution,andthereforehasanimportant
perspectiveonitsvalue.Acustomermaybeconsultedtoprovidereviewsand
feedback.
DomainSubjectMatterExpert:providesinputintohowthesolutionshould
performandidentifiespotentiallimitationstovaluerealization.
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SolutionEvaluation
AssessEnterpriseLimitations
EndUser:usesthesolution,orisacomponentofthesolution,andtherefore
contributestotheactualvaluerealizedbythesolutionintermsofsolution
performance.Anendusermaybeconsultedtoprovidereviewsandfeedback
onareassuchasworkloadandjobsatisfaction.
Regulator:apersonwhoseorganizationneedstobeconsultedaboutthe
plannedandpotentialvalueofasolution,asthatorganizationmayconstrain
thesolution,thedegreetowhichactualvalueisrealized,orwhenactualvalue
isrealized.
Sponsor:responsibleforapprovingthepotentialvalueofthesolution,for
providingresourcestodevelop,implementandsupportthesolution,andfor
directingenterpriseresourcestousethesolution.Thesponsorisalso
responsibleforapprovingachangetopotentialvalue.
8.3.8
Outputs
SolutionLimitation:adescriptionofthecurrentlimitationsofthesolution
includingconstraintsanddefects.
8.4
8.4.1
Purpose
ThepurposeofAssessEnterpriseLimitationsistodeterminehowfactorsexternal
tothesolutionarerestrictingvaluerealization.
8.4.2
Description
Solutionsmayoperateacrossvariousorganizationswithinanenterprise,and
thereforehavemanyinteractionsandinterdependencies.Solutionsmayalso
dependonenvironmentalfactorsthatareexternaltotheenterprise.Enterprise
limitationsmayincludefactorssuchasculture,operations,technicalcomponents,
stakeholderinterests,orreportingstructures.
Assessingenterpriselimitationsidentifiesrootcausesanddescribeshow
enterprisefactorslimitvaluerealization.
Thisassessmentmaybeperformedatanypointduringthesolutionlifecycle.It
mayoccuronasolutioncomponentduringitsdevelopmentoronacompleted
solutionpriortofullimplementation.Itmayalsooccuronanexistingsolution
thatiscurrentlyworkingwithinanorganization.Regardlessofthetiming,the
assessmentactivitiesaresimilarandrequirethesameskills.
177
Tester:responsibleforidentifyingsolutionproblemsduringconstructionand
implementationnotoftenusedinassessinganexistingsolutionoutsideofa
change.
8.4.3
SolutionEvaluation
Inputs
CurrentStateDescription:thecurrentinternalenvironmentofthesolution
includingtheenvironmental,cultural,andinternalfactorsinfluencingthe
solutionlimitations.
Implemented(orConstructed)Solution(external):asolutionthatexists.
Thesolutionmayormaynotbeinoperationaluseitmaybeaprototype.The
solutionmustbeinuseinsomeforminordertobeevaluated.
collectedandrecommendationstosolveperformancegapsandleverage
Figure8.4.1:AssessEnterpriseLimitationsInput/OutputDiagram
Input
GuidelinesandTools
BusinessObjectives
Implementedor
Constructed
Solution(external)
6.1
CurrentState
Description
8.2
Solution
Performance
Analysis
ChangeStrategy
8.4
Output
RiskAnalysisResults
8.4
Enterprise
Limitation
SolutionScope
6.1
AnalyzeCurrent
State
8.4.4
8.5
Recommend
ActionstoIncrease
SolutionValue
Elements
.1 EnterpriseCultureAssessment
Enterprisecultureisdefinedasthedeeplyrootedbeliefs,values,andnorms
sharedbythemembersofanenterprise.Whilethesebeliefsandvaluesmaynot
bedirectlyvisible,theydrivetheactionstakenbyanenterprise.
Businessanalystsperformculturalassessmentsto:
178
SolutionEvaluation
identifywhetherornotstakeholdersunderstandthereasonswhyasolution
exists,
ascertainwhetherornotthestakeholdersviewthesolutionassomething
beneficialandaresupportiveofthechange,and
determineifandwhatculturalchangesarerequiredtobetterrealizevalue
fromasolution.
Theenterprisecultureassessmentevaluatestheextenttowhichtheculturecan
acceptasolution.Ifculturaladjustmentsareneededtosupportthesolution,the
assessmentisusedtojudgetheenterprisesabilityandwillingnesstoadaptto
theseculturalchanges.
Businessanalystsalsoevaluateinternalandexternalstakeholdersto:
assessperceptionofvalueandbenefitfromthesolution,and
determinewhatcommunicationactivitiesareneededtoensureawareness
andunderstandingofthesolution.
.2 StakeholderImpactAnalysis
Astakeholderimpactanalysisprovidesinsightintohowthesolutionaffectsa
particularstakeholdergroup.
Whenconductingstakeholderimpactanalysis,businessanalystsconsider:
Functions:theprocessesinwhichthestakeholderusesthesolution,which
includeinputsastakeholderprovidesintotheprocess,howthestakeholder
usesthesolutiontoexecutetheprocess,andwhatoutputsthestakeholder
receivesfromtheprocess.
Locations:thegeographiclocationsofthestakeholdersinteractingwith
thesolution.Ifthestakeholdersareindisparatelocations,itmayimpact
theiruseofthesolutionandtheabilitytorealizethevalueofthesolution.
Concerns:theissues,risks,andoverallconcernsthestakeholdershavewith
thesolution.Thismayincludetheuseofthesolution,theperceptionsof
thevalueofthesolution,andtheimpactthesolutionhasonastakeholders
abilitytoperformnecessaryfunctions.
.3 OrganizationalStructureChanges
Thereareoccasionswhenbusinessanalystsassesshowtheorganizations
structureisimpactedbyasolution.
Theuseofasolutionandtheabilitytoadoptachangecanbeenabledorblocked
byformalandinformalrelationshipsamongstakeholders.Thereportingstructure
maybetoocomplexortoosimpletoallowasolutiontoperformeffectively.
Assessingiftheorganizationalhierarchysupportsthesolutionisakeyactivity.On
occasion,informalrelationshipswithinanorganization,whetheralliances,
179
gaugeunderstandingandacceptanceofthesolution,
SolutionEvaluation
friendships,ormatrixreporting,impacttheabilityofasolutiontodeliver
potentialvalue.Businessanalystsconsidertheseinformalrelationshipsinaddition
totheformalstructure.
.4 OperationalAssessment
Theoperationalassessmentisperformedtodetermineifanenterpriseisableto
adapttooreffectivelyuseasolution.Thisidentifieswhichprocessesandtools
withintheenterpriseareadequatelyequippedtobenefitfromthesolution,andif
sufficientandappropriateassetsareinplacetosupportit.
Whenconductinganoperationalassessment,businessanalystsconsider:
policiesandprocedures,
capabilitiesandprocessesthatenableothercapabilities,
skillandtrainingneeds,
humanresourcespractices,
risktoleranceandmanagementapproaches,and
toolsandtechnologythatsupportasolution.
8.4.5
GuidelinesandTools
BusinessObjectives:areconsideredwhenmeasuringanddetermining
potentialvalue.
FutureStateDescriptions:boundariesoftheproposednew,removed,or
modifiedcomponentsoftheenterprise,aswellasthepotentialvalueexpected
fromthefuturestate.
RiskAnalysisResults:theoveralllevelofriskandtheplannedapproachto
8.4.6
Techniques
BenchmarkingandMarketAnalysis:usedtoidentifyexistingsolutionsand
enterpriseinteractions.
Brainstorming:usedtoidentifyorganizationalgapsorstakeholderconcerns.
DataMining:usedtoidentifyfactorsconstrainingperformanceofthe
solution.
DecisionAnalysis:usedtoassistinmakinganoptimaldecisionunder
conditionsofuncertaintyandmaybeusedintheassessmenttomakedecisions
aboutfunctional,technical,orproceduralgaps.
180
SolutionEvaluation
DocumentAnalysis:usedtogainanunderstandingoftheculture,operations,
andstructureoftheorganization.
Interviews:usedtoidentifyorganizationalgapsorstakeholderconcerns.
ItemTracking:usedtoensurethatissuesarenotneglectedorlostandthat
issuesidentifiedbyassessmentareresolved.
LessonsLearned:usedtoanalyzepreviousinitiativesandtheenterprise
interactionswiththesolutions.
Observation:usedtowitnesstheenterpriseandsolutioninteractionsto
identifyimpacts.
OrganizationalModelling:usedtoensuretheidentificationofanyrequired
changestotheorganizationalstructurethatmayhavetobeaddressed.
ProcessModelling:usedtoillustratethecurrentbusinessprocessesand/or
changesthatmustbemadeinordertoachievethepotentialvalueofthe
solution.
RiskAnalysisandManagement:usedtoconsiderriskintheareasof
technology(iftheselectedtechnologicalresourcesproviderequired
functionality),finance(ifcostscouldexceedlevelsthatmakethechange
salvageable),andbusiness(iftheorganizationwillbeabletomakethechanges
necessarytoattainpotentialvaluefromthesolution).
RolesandPermissionsMatrix:usedtodeterminerolesandassociated
permissionsforstakeholders,aswellasstabilityofendusers.
RootCauseAnalysis:usedtodetermineiftheunderlyingcausemaybe
relatedtoenterpriselimitations.
SurveyorQuestionnaire:usedtoidentifyorganizationalgapsorstakeholder
concerns.
SWOTAnalysis:usedtodemonstratehowachangewillhelptheorganization
maximizestrengthsandminimizeweaknesses,andtoassessstrategies
developedtorespondtoidentifiedissues.
Workshops:usedtoidentifyorganizationalgapsorstakeholderconcerns.
8.4.7
Stakeholders
Customer:peopledirectlypurchasingorconsumingthesolutionwhomay
interactwiththeorganizationintheuseofthesolution.
DomainSubjectMatterExpert:providesinputintohowtheorganization
interactswiththesolutionandidentifiespotentiallimitations.
EndUser:peoplewhouseasolutionorwhoareacomponentofthesolution.
Userscouldbecustomersorpeoplewhoworkwithintheorganization.
181
ProcessAnalysis:usedtoidentifypossibleopportunitiestoimprove
performance.
RecommendActionstoIncreaseSolutionValue
SolutionEvaluation
Regulator:oneormanygovernmentalorprofessionalentitiesthatensure
adherencetolaws,regulations,orrulesmayhaveuniqueinputtothe
organizationalassessment,asrelevantregulationsmustbeincludedinthe
requirements.Theremaybelawsandregulationsthatmustbecompliedwith
priorto(orasaresultof)aplannedorimplementedchange.
Sponsor:authorizesandensuresfundingforasolutiondelivery,and
championsactiontoresolveproblemsidentifiedintheorganizational
assessment.
8.4.8
Outputs
EnterpriseLimitation:adescriptionofthecurrentlimitationsoftheenterprise
includinghowthesolutionperformanceisimpactingtheenterprise.
8.5
8.5.1
Purpose
ThepurposeofRecommendActionstoIncreaseSolutionValueistounderstand
thefactorsthatcreatedifferencesbetweenpotentialvalueandactualvalue,and
torecommendacourseofactiontoalignthem.
8.5.2
Description
ThevarioustasksintheSolutionEvaluationknowledgeareahelptomeasure,
analyze,anddeterminecausesofunacceptablesolutionperformance.Thetask
RecommendActionstoIncreaseSolutionValue(p.182),focuseson
understandingtheaggregateoftheperformedassessmentsandidentifying
alternativesandactionstoimprovesolutionperformanceandincreasevalue
realization.
Recommendationsgenerallyidentifyhowasolutionshouldbereplaced,retired,
orenhanced.Theymayalsoconsiderlongtermeffectsandcontributionsofthe
solutiontostakeholders.Theymayincluderecommendationstoadjustthe
organizationtoallowformaximumsolutionperformanceandvaluerealization.
8.5.3
Inputs
EnterpriseLimitation:adescriptionofthecurrentlimitationsoftheenterprise
includinghowthesolutionperformanceisimpactingtheenterprise.
SolutionLimitation:adescriptionofthecurrentlimitationsofthesolution
includingconstraintsanddefects.
182
SolutionEvaluation
Figure8.5.1:RecommendActionstoIncreaseSolutionValueInput/OutputDiagram
Input
GuidelinesandTools
8.3
SolutionLimitation
8.4
Enterprise
Limitation
BusinessObjectives
8.5
RecommendActionsto
IncreaseSolutionValue
SolutionScope
Output
4.5
Manage
Stakeholder
Collaboration
8.5.4
Elements
.1 AdjustSolutionPerformanceMeasures
Insomecases,theperformanceofthesolutionisconsideredacceptablebutmay
notsupportthefulfillmentofbusinessgoalsandobjectives.Ananalysiseffortto
identifyanddefinemoreappropriatemeasuresmayberequired.
.2 Recommendations
Whilerecommendationsoftendescribewaystoincreasesolutionperformance,
thisisnotalwaysthecase.Dependingonthereasonforlowerthanexpected
performance,itmaybereasonabletotakenoaction,adjustfactorsthatare
externaltothesolution,orresetexpectationsforthesolution.
Somecommonexamplesofrecommendationsthatabusinessanalystmaymake
include:
DoNothing:isusuallyrecommendedwhenthevalueofachangeislow
relativetotheeffortrequiredtomakethechange,orwhentherisksof
changesignificantlyoutweightherisksofremaininginthecurrentstate.It
183
8.5
Recommended
Actions
SolutionEvaluation
mayalsobeimpossibletomakeachangewiththeresourcesavailableorin
theallottedtimeframe.
OrganizationalChange:isaprocessformanagingattitudesabout,
perceptionsof,andparticipationinthechangerelatedtothesolution.
Organizationalchangemanagementgenerallyreferstoaprocessandsetof
toolsformanagingchangeatanorganizationallevel.Thebusinessanalyst
mayhelptodeveloprecommendationsforchangestotheorganizational
structureorpersonnel,asjobfunctionsmaychangesignificantlyasthe
resultofworkbeingautomated.Newinformationmaybemadeavailable
tostakeholdersandnewskillsmayberequiredtooperatethesolution.
Possiblerecommendationsthatrelatetoorganizationalchangeinclude:
automatingorsimplifyingtheworkpeopleperform.Relativelysimple
tasksareprimecandidatesforautomation.Additionally,workactivities
andbusinessrulescanbereviewedandanalyzedtodetermine
opportunitiesforreengineering,changesinresponsibilities,and
outsourcing.
improvingaccesstoinformation.Changemayprovidegreateramounts
ofinformationandbetterqualityofinformationtostaffanddecision
makers.
ReduceComplexityofInterfaces:interfacesareneededwheneverwork
istransferredbetweensystemsorbetweenpeople.Reducingtheir
complexitycanimproveunderstanding.
EliminateRedundancy:differentstakeholdergroupsmayhavecommon
needsthatcanbemetwithasinglesolution,reducingthecostof
implementation.
AvoidWaste:theaimofavoidingwasteistocompletelyremovethose
activitiesthatdonotaddvalueandminimizethoseactivitiesthatdonot
contributetothefinalproductdirectly.
IdentifyAdditionalCapabilities:solutionoptionsmayoffercapabilities
totheorganizationaboveandbeyondthoseidentifiedintherequirements.
Inmanycases,thesecapabilitiesarenotofimmediatevaluetothe
organizationbuthavethepotentialtoprovidefuturevalue,asthesolution
maysupporttherapiddevelopmentorimplementationofthosecapabilities
iftheyarerequired(forexample,asoftwareapplicationmayhavefeatures
thattheorganizationanticipatesusinginthefuture).
RetiretheSolution:itmaybenecessarytoconsiderthereplacementofa
solutionorsolutioncomponent.Thismayoccurbecausetechnologyhas
reachedtheendofitslife,servicesarebeinginsourcedoroutsourced,or
thesolutionisnotfulfillingthegoalsforwhichitwascreated.
Someadditionalfactorsthatmayimpactthedecisionregardingthe
replacementorretirementofasolutioninclude:
ongoingcostversusinitialinvestment:itiscommonfortheexisting
solutiontohaveincreasingcostsovertime,whilealternativeshavea
higherinvestmentcostupfrontbutlowermaintenancecosts.
184
SolutionEvaluation
opportunitycost:representsthepotentialvaluethatcouldberealized
bypursuingalternativecoursesofaction.
necessity:mostsolutioncomponentshavealimitedlifespan(dueto
obsolescence,changingmarketconditions,andothercauses).Aftera
certainpointinthelifecycleitwillbecomeimpracticalorimpossibleto
maintaintheexistingcomponent.
8.5.5
GuidelinesandTools
BusinessObjectives:areconsideredinevaluating,measuring,and
determiningsolutionperformance.
tobecompleted.Itcanbeusedtoassessalternativesandbetterunderstandthe
potentialincreasedvaluethatcouldbedelivered.Itcanalsohelphighlight
unintendedconsequencesofalternativesthatmayotherwiseremain
undetected.
8.5.6
Techniques
DataMining:usedtogeneratepredictiveestimatesofsolutionperformance.
DecisionAnalysis:usedtodeterminetheimpactofactingonanyofthe
potentialvalueorperformanceissues.
FinancialAnalysis:usedtoassessthepotentialcostsandbenefitsofachange.
FocusGroups:usedtodetermineifsolutionperformancemeasuresneedtobe
adjustedandusedtoidentifypotentialopportunitiestoimproveperformance.
OrganizationalModelling:usedtodemonstratepotentialchangewithinthe
organization'sstructure.
Prioritization:usedtoidentifyrelativevalueofdifferentactionstoimprove
ProcessAnalysis:usedtoidentifyopportunitieswithinrelatedprocesses.
RiskAnalysisandManagement:usedtoevaluatedifferentoutcomesunder
specificconditions.
SurveyorQuestionnaire:usedtogatherfeedbackfromawidevarietyof
stakeholderstodetermineifvaluehasbeenmetorexceeded,ifthemetricsare
185
sunkcost:describesthemoneyandeffortalreadycommittedtoan
initiative.Thepsychologicalimpactofsunkcostsmaymakeitdifficult
forstakeholderstoobjectivelyassesstherationaleforreplacementor
elimination,astheymayfeelreluctantto"waste"theeffortormoney
alreadyinvested.Asthisinvestmentcannotberecovered,itiseffectively
irrelevantwhenconsideringfutureaction.Decisionsshouldbebasedon
thefutureinvestmentrequiredandthefuturebenefitsthatcanbe
gained.
SolutionEvaluation
stillvalidorrelevantinthecurrentcontext,andwhatactionsmightbetakento
improvethesolution.
8.5.7
Stakeholders
Customer:peopledirectlypurchasingorconsumingthesolutionandwhomay
interactwiththeorganizationintheuseofthesolution.
DomainSubjectMatterExpert:providesinputintohowtochangethe
solutionand/ortheorganizationinordertoincreasevalue.
EndUser:peoplewhouseasolutionorwhoareacomponentofthesolution.
Userscouldbecustomersorpeoplewhoworkwithintheorganization.
Regulator:oneormanygovernmentalorprofessionalentitiesthatensure
adherencetolaws,regulations,orrules.Relevantregulationsmustbeincluded
inrequirements.
Sponsor:authorizesandensuresfundingforimplementationofany
recommendedactions.
8.5.8
Outputs
RecommendedActions:recommendationofwhatshouldbedonetoimprove
thevalueofthesolutionwithintheenterprise.
186
TheUnderlyingCompetencieschapterprovidesadescriptionofthebehaviours,
characteristics,knowledge,andpersonalqualitiesthatsupportthepracticeof
businessanalysis.
Theunderlyingcompetenciesdescribedherearenotuniquetobusinessanalysis.
Theyaredescribedheretoensurereadersareawareoftherangeoffundamental
skillsrequiredandprovideabasisforthemtofurtherinvestigatetheskillsand
knowledgethatwillenablethemtobeaccomplishedandadaptablebusiness
analysts.
Thesecompetenciesaregroupedintosixcategories:
AnalyticalThinkingandProblemSolving(p.188),
BehaviouralCharacteristics(p.194),
BusinessKnowledge(p.199),
CommunicationSkills(p.203),
InteractionSkills(p.207),and
ToolsandTechnology(p.211).
Eachunderlyingcompetencyisdefinedwithapurpose,definition,and
effectivenessmeasures.
187
AnalyticalThinkingandProblemSolving
9.1
Analyticalthinkingandproblemsolvingskillsarerequiredforbusinessanalyststo
analyzeproblemsandopportunitieseffectively,identifywhichchangesmay
deliverthemostvalue,andworkwithstakeholderstounderstandtheimpactof
thosechanges.
Businessanalystsuseanalyticalthinkingbyrapidlyassimilatingvarioustypesof
information(forexample,diagrams,stakeholderconcerns,customerfeedback,
schematics,userguides,andspreadsheets),andidentifyingwhicharerelevant.
Businessanalystsshouldbeabletoquicklychooseeffectiveandadaptable
methodstolearnandanalyzethemedia,audiences,problemtypes,and
environmentsaseachisencountered.
Businessanalystsutilizeanalyticalthinkingandproblemsolvingastheyfacilitate
understandingofsituations,thevalueofproposedchanges,andothercomplex
ideas.
Possessingasoundunderstandingoftheanalyticalthinkingandproblemsolving
corecompetenciesallowsbusinessanalyststoidentifythebestwaystopresent
informationtotheirstakeholders.Forexample,someconceptsaremoreeasily
understoodwhenpresentedindiagramsandinformationgraphicsratherthanby
paragraphsoftext.Havingthisunderstandingassistsbusinessanalystswhen
planningtheirbusinessanalysisapproachandenablesthemtocommunicate
businessanalysisinformationinamannerthatsuitsthematerialbeingconveyed
totheiraudience.
AnalyticalThinkingandProblemSolvingcorecompetenciesinclude:
CreativeThinking,
DecisionMaking,
Learning,
ProblemSolving,
SystemsThinking,
ConceptualThinking,and
VisualThinking.
9.1.1
CreativeThinking
.1 Purpose
Thinkingcreativelyandhelpingotherstoapplycreativethinkinghelpsbusiness
analyststobeeffectiveingeneratingnewideas,approaches,andalternativesto
problemsolvingandopportunities.
.2 Definition
Creativethinkinginvolvesgeneratingnewideasandconceptsaswellasfinding
newordifferentassociationsbetweenexistingideasandconcepts.Ithelps
188
overcomerigidapproachestoproblemsolvingbyquestioningconventional
approachesandencouragingnewideasandinnovationsthatareappropriateto
thesituation.Creativethinkingmayinvolvecombining,changing,andreapplying
existingconceptsorideas.Businessanalystscanbeeffectiveinpromoting
creativethinkinginothersbyidentifyingandproposingalternatives,andby
askingquestionsandchallengingassumptions.
Measuresofeffectivecreativethinkinginclude:
generatingandproductivelyconsideringnewideas,
exploringconceptsandideasthatarenew,
exploringchangestoexistingconceptsandideas,
applyingnewideastoresolveexistingproblems.
9.1.2
DecisionMaking
.1 Purpose
Businessanalystsmustbeeffectiveinunderstandingthecriteriainvolvedin
makingadecision,andinassistingotherstomakebetterdecisions.
.2 Definition
Whenabusinessanalystoragroupofstakeholdersisfacedwithhavingtoselect
anoptionfromasetofalternatives,adecisionmustbemadeonwhichisthe
mostadvantageousforthestakeholdersandtheenterprise.Determiningthis
involvesgatheringtheinformationthatisrelevanttothedecision,analyzingthe
relevantinformation,makingcomparisonsandtradeoffsbetweensimilarand
dissimilaroptions,andidentifyingthemostdesirableoption.Businessanalysts
documentdecisions(andtherationalesupportingthosedecisions)tousethemas
areferenceintheeventasimilardecisionisrequiredinthefutureoriftheyare
requiredtoexplainwhyadecisionwasmade.
Measuresofeffectivedecisionmakinginclude:
theappropriatestakeholdersarerepresentedinthedecisionmaking
process,
stakeholdersunderstandthedecisionmakingprocessandtherationale
behindthedecision,
theprosandconsofallavailableoptionsareclearlycommunicatedto
stakeholders,
thedecisionreducesoreliminatesuncertainty,andanyremaining
uncertaintyisaccepted,
189
generatingcreativityforselfandothers,and
thedecisionmadeaddressestheneedortheopportunityathandandisin
thebestinterestofallstakeholders,
stakeholdersunderstandalltheconditions,environment,andmeasuresin
whichthedecisionwillbemade,and
adecisionismade.
9.1.3
Learning
.1 Purpose
Theabilitytoquicklyabsorbnewanddifferenttypesofinformationandalso
modifyandadaptexistingknowledgeallowsbusinessanalyststoworkeffectively
inrapidlychangingandevolvingenvironments.
.2 Definition
Learningistheprocessofgainingknowledgeorskills.Learningaboutadomain
passesthroughasetofstages,frominitialacquisitionandlearningofrawfacts,
throughcomprehensionoftheirmeaning,toapplyingtheknowledgeindayto
daywork,andfinallyanalysis,synthesis,andevaluation.Businessanalystsmust
beabletodescribetheirlevelofunderstandingofthebusinessdomainandbe
capableofapplyingthatlevelofunderstandingtodeterminewhichanalysis
activitiesneedtobeperformedinagivensituation.Oncelearningabouta
domainhasreachedthepointwhereanalysisiscomplete,businessanalystsmust
beabletosynthesizetheinformationtoidentifyopportunitiestocreatenew
solutionsandevaluatethosesolutionstoensurethattheyareeffective.
Learningisimprovedwhenthelearningtechniqueisselectedbasedonthe
requiredlearningoutcomes.
Learningtechniquestoconsiderinclude:
Visual:learningthroughthepresentationofpictures,photographs,
diagrams,models,andvideos.
Auditory:learningthroughverbalandwrittenlanguageandtext.
Kinesthetic:learningbydoing.
Mostpeopleexperiencefasterunderstandingandlongerretentionofinformation
whenmorethanonelearningtechniqueisused.
Measuresofeffectivelearninginclude:
understandingthatlearningisaprocessforallstakeholders,
learningtheconceptspresentedandthendemonstratinganunderstanding
ofthem,
demonstratingtheabilitytoapplyconceptstonewareasorrelationships,
rapidlyabsorbingnewfacts,ideas,concepts,andopinions,and
190
effectivelypresentingnewfacts,ideas,concepts,andopinionstoothers.
9.1.4
ProblemSolving
.1 Purpose
Businessanalystsdefineandsolveproblemsinordertoensurethatthereal,
underlyingrootcauseofaproblemisunderstoodbyallstakeholdersandthat
solutionoptionsaddressthatrootcause.
.2 Definition
Measuresofeffectiveproblemsolvinginclude:
confidenceoftheparticipantsintheproblemsolvingprocess,
selectedsolutionsmeetthedefinedobjectivesandsolvetherootcauseof
theproblem,
newsolutionoptionscanbeevaluatedeffectivelyusingtheproblemsolving
framework,and
theproblemsolvingprocessavoidsmakingdecisionsbasedonunvalidated
assumptions,preconceivednotions,orothertrapsthatmaycauseasub
optimalsolutiontobeselected.
9.1.5
SystemsThinking
.1 Purpose
Understandinghowthepeople,processes,andtechnologywithinan
organizationinteractallowsbusinessanalyststounderstandtheenterprisefroma
holisticpointofview.
.2 Definition
Systemstheoryandsystemsthinkingsuggestthatasystemasawholehas
properties,behaviours,andcharacteristicsthatemergefromtheinteractionof
thecomponentsofthatsystem.Thesefactorsarenotpredictablefroman
understandingofthecomponentsalone.Forexample,justbecauseabusiness
191
Definingaprobleminvolvesensuringthatthenatureoftheproblemandany
underlyingissuesareclearlyunderstoodbyallstakeholders.Stakeholderpointsof
viewarearticulatedandaddressedtounderstandanyconflictsbetweenthegoals
andobjectivesofdifferentgroupsofstakeholders.Assumptionsareidentifiedand
validated.Theobjectivesthatwillbemetoncetheproblemissolvedareclearly
specified,andalternativesolutionsareconsideredandpossiblydeveloped.
Alternativesaremeasuredagainsttheobjectivestodeterminewhichpossible
solutionisbest,andidentifythevalueandtradeoffsthatmayexistbetween
solutions.
analystknowsthatacustomermayreturnanitemtheypurchaseddoesn'tgive
thebusinessanalystthefullpicture.Theanalystmustanalyzetheimpactthe
returnhasonsuchitemsasinventory,finance,andstoreclerktraining.Inthe
contextofsystemstheory,thetermsystemincludesthepeopleinvolved,the
interactionsbetweenthem,theexternalforcesaffectingtheirbehaviour,andall
otherrelevantelementsandfactors.
Measuresofeffectiveuseofsystemsthinkinginclude:
communicatinghowachangetoacomponentaffectsthesystemasa
whole,
communicatinghowachangetoasystemaffectstheenvironmentitisin,
and
communicatinghowsystemsadapttointernaland/orexternalpressures
andchanges.
9.1.6
ConceptualThinking
.1 Purpose
Businessanalystsroutinelyreceivelargeamountsofdetailedandpotentially
disparateinformation.Theyapplyconceptualthinkingskillstofindwaysto
understandhowthatinformationfitsintoalargerpictureandwhatdetailsare
important,andtoconnectseeminglyabstractinformation.
.2 Definition
Conceptualthinkingisaboutunderstandingthelinkagebetweencontexts,
solutions,needs,changes,stakeholders,andvalueabstractlyandinthebig
picture.Itinvolvesunderstandingandconnectinginformationandpatternsthat
maynotbeobviouslyrelated.Conceptualthinkinginvolvesunderstandingwhere
detailsfitintoalargercontext.Itinvolvesusingpastexperiences,knowledge,
creativity,intuition,andabstractthinkingtogeneratealternatives,options,and
ideasthatarenoteasilydefinedorrelated.
Conceptualthinkinginbusinessanalysisisspecificallyaboutlinkingfactorsnot
easilydefinedtotheunderlyingproblemoropportunity,models,orframeworks
thathelpstakeholdersunderstandandfacilitatethemselvesandothersthrough
change.Itisneededtoconnectdisparateinformationfromamultitudeof
stakeholders,objectives,risks,details,andotherfactors.Withthisinformationit
generatesoptionsandalternativesforasolution,andcommunicatesthis
informationtootherswhileencouragingthemtogenerateideasoftheirown.
Measuresofeffectiveconceptualthinkinginclude:
connectingdisparateinformationandactingtobetterunderstandthe
relationship,
192
confirmingtheconfidenceandunderstandingoftheconceptbeing
communicatedwithstakeholders,
formulatingabstractconceptsusingacombinationofinformationand
uncertainty,and
drawingonpastexperiencestounderstandthesituation.
9.1.7
VisualThinking
.1 Purpose
Theabilitytocommunicatecomplexconceptsandmodelsintounderstandable
visualrepresentationsallowsbusinessanalyststoengagestakeholdersandhelp
themunderstandtheconceptsbeingpresented.
Visualthinkingskillsallowbusinessanalyststocreategraphicalrepresentationsof
theconceptsorsystemsbeingdiscussed.Thegoalofthesegraphical
representationsistoallowstakeholderstoeasilyunderstandtheconceptsbeing
presented,andthenprovideinput.Visualthinkingrequiresthattheanalystmake
abstractionsandthenfindsuitablegraphicdevicestorepresentthem.
Visualthinkingisvisualizingandcreatingsimplevisualconcepts,graphics,
models,diagrams,andconstructstoconveyandintegratenonvisualinformation.
Inperformingbusinessanalysis,largeamountsofinformationandcomplex
connectionsbetweencontexts,stakeholders,needs,solutions,changes,and
valuearecommunicated.Visualsrepresentthisinformationanditscomplexities,
allowingstakeholdersandaudiencestolearnmorequickly,processthe
information,andconnectpointsfromeachoftheircontexts.
Visualthinkingalsoallowstheaudiencetoengageandconnectconceptsmore
quicklyandfreelyintotheircontext,aswellasunderstandandappreciateothers
contextsmoreclearly.
Measuresofeffectivevisualthinkinginclude:
complexinformationiscommunicatedinavisualmodelwhichis
understandablebystakeholders,
visualsallowforcomparisons,patternfinding,andideamappingwith
participants,
productivityincreasesduetoincreasedlearning,quickmemory,andfollow
throughfromeffectivevisuals,
stakeholdersareengagedatadeeperlevelthanwithtextalone,and
stakeholdersunderstandcriticalinformationwhichmayhavebeenmissedif
presentedintextualcontentalone.
193
.2 Definition
BehaviouralCharacteristics
9.2
Behaviouralcharacteristicsarenotuniquetobusinessanalysisbuttheyhavebeen
foundtoincreasepersonaleffectivenessinthepracticeofbusinessanalysis.These
characteristicsexistatthecoreofeverybusinessanalystsskillset.Eachofthe
behaviouralcharacteristicsdescribedherecanimpacttheoutcomeofthe
practitioner'sefforts.
Thecorecompetenciesofbehaviouralcharacteristicsfocusontheskillsand
behavioursthatallowabusinessanalysttogainthetrustandrespectof
stakeholders.Businessanalystsdothisbyconsistentlyactinginanethicalmanner,
completingtasksontimeandtoexpectations,efficientlydeliveringqualityresults,
anddemonstratingadaptabilitytochangingneedsandcircumstances.
BehaviouralCharacteristicscorecompetenciesinclude:
Ethics(p.194),
PersonalAccountability(p.195),
Trustworthiness(p.195),
OrganizationandTimeManagement(p.196),and
Adaptability(p.197).
9.2.1
Ethics
.1 Purpose
Behavingethicallyandthinkingofethicalimpactsonothersallowsbusiness
analyststoearntherespectofthestakeholders.Theabilitytorecognizewhena
proposedsolutionorrequirementmaypresentethicaldifficultiestoan
organizationoritsstakeholdersisanimportantconsiderationthatbusiness
analystscanusetohelpreduceexposuretorisk.
.2 Definition
Ethicsrequireanunderstandingandfocusonfairness,consideration,andmoral
behaviourthroughbusinessanalysisactivitiesandrelationships.Ethicalbehaviour
includesconsiderationoftheimpactthataproposedsolutioncanhaveonall
stakeholdergroupsandworkingtoensurethatthosegroupsaretreatedasfairly
aspossible.Fairtreatmentdoesnotrequirethattheoutcomebebeneficialtoa
particularstakeholdergroup,butitdoesrequirethattheaffectedstakeholders
understandthereasonsfordecisions.Awarenessofethicalissuesallowsbusiness
analyststoidentifywhenethicaldilemmasoccurandrecommendresolutionsto
thesedilemmas.
Measuresofeffectiveethicalbehaviourinclude:
promptidentificationandresolutionofethicaldilemmas,
feedbackfromstakeholdersconfirmingtheyfeeldecisionsandactionsare
transparentandfair,
194
decisionsmadewithconsiderationoftheinterestsofallstakeholders,
reasoningfordecisionsthatisclearlyarticulatedandunderstood,
fullandpromptdisclosureofpotentialconflictsofinterest,and
honestyregardingone'sabilities,theperformanceofone'swork,and
acceptingresponsibilityforfailuresorerrors.
9.2.2
PersonalAccountability
.1 Purpose
.2 Description
Personalaccountabilityincludeseffectivelyplanningbusinessanalysisworkto
achievetargetsandgoals,andensuringthatvaluedeliveredisalignedwith
businessneeds.Itinvolveschasingdownallleadsandlooseendstofullysatisfy
thestakeholdersneeds.Followingthroughonandfullycompletingbusiness
analysistasksproducescomplete,accurate,andrelevantsolutionstraceabletoa
need.Businessanalyststakeresponsibilityforidentifyingandescalatingrisksand
issues.Theyalsoensurethatdecisionmakershavetheappropriateinformationin
ordertoassessimpact.
Measuresofeffectivepersonalaccountabilityinclude:
workeffortisplannedandeasilyarticulatedtoothers,
workiscompletedasplannedorreplannedwithsufficientreasoningand
leadtime,
statusofbothplannedandunplannedworkisknown,
stakeholdersfeelthatworkisorganized,
risksandissuesareidentifiedandappropriatelyactedon,
completelytraceablerequirementsaredeliveredontime,andstakeholder
needsaremet.
9.2.3
Trustworthiness
.1 Purpose
Earningthetrustofstakeholdershelpsbusinessanalystselicitbusinessanalysis
informationaroundsensitiveissuesandenablesthemtohelpstakeholdershave
confidencethattheirrecommendationswillbeevaluatedproperlyandfairly.
195
Personalaccountabilityisimportantforabusinessanalystbecauseitensures
businessanalysistasksarecompletedontimeandtotheexpectationsof
colleaguesandstakeholders.Itenablesthebusinessanalysttoestablishcredibility
byensuringthatbusinessanalysiseffortsmeettheneedsofthebusiness.
.2 Description
Trustworthinessistheperceptionthatoneisworthyoftrust.Abusinessanalyst
beingconsideredtrustworthymayoffsetthenaturalfearofchangeexperienced
bymanystakeholders.
Severalfactorscancontributetobeingconsideredtrustworthy:
intentionallyandconsistentlycompletingtasksanddeliverablesontime,
withinbudget,andachievingexpectedresultssothatcolleaguesand
stakeholdersconsiderthebusinessanalyst'sbehaviourdependableand
diligent,
presentingaconsistentattitudeofconfidence,sothatcolleaguesand
stakeholdersconsiderthebusinessanalyst'sdemeanorasstrong,
actinginanhonestandstraightforwardmanner,addressingconflictand
concernsimmediatelysothatcolleaguesandstakeholdersconsiderthe
businessanalyst'smoralsasbeinghonestandtransparent,and
maintainingaconsistentscheduleoveralongperiodoftimesothat
colleaguesandstakeholdersconsiderthebusinessanalyst'savailability
predictableandreliable.
Measuresofeffectivetrustworthinessinclude:
stakeholdersinvolvethebusinessanalystindiscussionsanddecision
making,
stakeholdersbringissuesandconcernstothebusinessanalyst,
stakeholdersarewillingtodiscussdifficultorcontroversialtopicswiththe
businessanalyst,
stakeholdersdonotblamethebusinessanalystwhenproblemsoccur,
stakeholdersrespectthebusinessanalyst'sideasandreferrals,and
stakeholdersrespondtothebusinessanalyst'sreferralswithpositive
feedback.
9.2.4
OrganizationandTimeManagement
.1 Purpose
Organizationandtimemanagementskillshelpbusinessanalystsperformtasks
effectivelyanduseworktimeefficiently.
.2 Description
Organizationandtimemanagementinvolvestheabilitytoprioritizetasks,
performthemefficiently,andmanagetimeeffectively.Businessanalystsare
constantlyacquiringandaccumulatingsignificantquantitiesofinformation,and
196
thisinformationmustbeorganizedandstoredinanefficientmannersothatit
canbeusedandreusedatalaterdate.Businessanalystsmustalsobeableto
differentiateimportantinformationthatshouldberetainedfromlessimportant
information.
Effectivetimemanagementrequirestheabilitytoprioritizetasksanddeadlines.
Techniquesoforganizationincludeestablishingshortandlongtermgoals,
actionplans,prioritizingtasks,andutilizingachecklist.Techniquesforeffective
timemanagementincludeestablishingtimelimitsonnoncriticaltasks,focusing
moretimeonhighriskandprioritytasks,settingasidefocustime,andmanaging
potentialinterruptions.
theabilitytoproducedeliverablesinatimelymanner,
stakeholdersfeelthatthebusinessanalystfocusesonthecorrecttasksat
therighttime,
scheduleofworkeffortanddeadlinesismanagedandcommunicatedto
stakeholders,
stakeholdersfeeltheirtimeinmeetingsandinreadingcommunicationsis
wellspent,
completepreparationformeetings,interviews,andrequirements
workshops,
relevantbusinessanalysisinformationiscaptured,organized,and
documented,
adherencetotheprojectscheduleandthemeetingofdeadlines,
providesaccurate,thorough,andconciseinformationinalogicalmanner
whichisunderstoodbystakeholders,and
maintainsuptodateinformationonthestatusofeachworkitemandall
outstandingwork.
9.2.5
Adaptability
.1 Purpose
Businessanalystsfrequentlyworkinrapidlychangingenvironmentsandwitha
varietyofstakeholders.Theyadjusttheirbehaviouralstyleandmethodof
approachtoincreasetheireffectivenesswheninteractingwithdifferent
stakeholders,organizations,andsituations.
.2 Definition
Adaptabilityistheabilitytochangetechniques,style,methods,andapproach.By
demonstratingawillingnesstointeractwithandcompletetasksinamanner
197
Measuresofeffectiveorganizationandtimemanagementinclude:
preferabletothestakeholders,businessanalystscanmaximizethequalityof
servicedeliveredandmoreefficientlyhelptheorganizationachieveitsgoalsand
objectives.Havingthecuriositytolearnwhatothersneedandpossessingthe
couragetotryadifferentbehaviourisadaptingtosituationsandcontext.
Businessanalystssometimeshavetomodifythewaytheyinteractwith
stakeholders,suchasthewaytheyconductinterviewsorthewaytheyfacilitate
workshops.Differentstakeholdershavedifferentlevelsofcomfortwith
techniquesthatareinthebusinessanalysistoolkit.Somestakeholdersaremore
visualandrespondbettertoinformationthatisrepresentedvisuallyinmodels,
diagrams,andpictures.Otherstakeholdersaremoreverbalandprefertextual
descriptions.Beingabletodeterminewhichtechniqueswillworkandwhichwill
not,andthenadaptaccordinglyincreasesthelikelihoodofasuccessful
interaction.
Intheeventthatthegoalsandobjectivesoftheorganizationchange,business
analystsrespondbyacceptingthechangesandadaptingtoanewmandate.
Similarly,whencircumstancesariseorunanticipatedproblemsoccur,business
analystsadaptbyalteringtheirplansandidentifyingoptionsthatcanbeusedto
delivermaximumvalue.Thebusinessanalystadaptswhenthebusinessor
stakeholderneedschange,orwhenthecontextofthegoalortheobjective
changes.Whentheneeditselfchanges,thebusinessanalystadaptsbyaltering
theplansandtheapproachinordertoensurethatvalueisprovidedanddelivered
aspartofthesolution.
Measuresofeffectiveadaptabilityinclude:
demonstratingthecouragetoactdifferentlyfromothers,
adaptingtochangingconditionsandenvironments,
valuingandconsideringotherpointsofviewandapproaches,
demonstratingapositiveattitudeinthefaceofambiguityandchange,
demonstratingawillingnesstolearnnewmethods,procedures,or
techniquesinordertoaccomplishgoalsandobjectives,
changingbehaviourtoperformeffectivelyunderchangingorunclear
conditions,
acquiringandapplyingnewinformationandskillstoaddressnew
challenges,
acceptanceofhavingchangesmadetotasks,rolesandprojectassignments
asorganizationalrealitieschange,
alteringinterpersonalstyletohighlydiverseindividualsandgroupsina
rangeofsituations,and
evaluatingwhatworked,whatdidnot,andwhatcouldbedonedifferently
nexttime.
198
9.3
BusinessKnowledge
BusinessKnowledge
Businessknowledgeisrequiredforthebusinessanalysttoperformeffectively
withintheirbusiness,industry,organization,solution,andmethodology.Business
knowledgeenablesthebusinessanalysttobetterunderstandtheoverarching
conceptsthatgovernthestructure,benefits,andvalueofthesituationasit
relatestoachangeoraneed.
BusinessKnowledgeunderlyingcompetenciesinclude:
BusinessAcumen(p.199),
IndustryKnowledge(p.200),
OrganizationKnowledge(p.201),
MethodologyKnowledge(p.202).
9.3.1
BusinessAcumen
.1 Purpose
Businessanalysisrequiresanunderstandingoffundamentalbusinessprinciples
andbestpracticesinordertoensuretheyareconsideredassolutionsare
reviewed.
.2 Description
Businessacumenistheabilitytounderstandbusinessneedsusingexperienceand
knowledgeobtainedfromothersituations.Organizationsfrequentlysharesimilar
practices,suchaslegalandregulatoryrequirements,finance,logistics,sales,
marketing,supplychainmanagement,humanresources,andtechnology.
Businessacumenistheabilitytounderstandandapplytheknowledgebasedon
thesecommonalitieswithindifferingsituations.
Understandinghowotherorganizationshavesolvedchallengesmaybeuseful
whenseekingpossiblesolutions.Beingawareoftheexperiencesorchallenges
encounteredinthepastmayassistabusinessanalystindeterminingwhich
informationmaybeapplicabletothecurrentsituation.Factorsthatmaycause
differencesinpracticescanincludeindustry,location,sizeoforganization,
culture,andthematurityoftheorganization.
Measuresofeffectivebusinessacumeninclude:
demonstratingtheabilitytorecognizepotentiallimitationsand
opportunities,
demonstratingtheabilitytorecognizewhenchangestoasituationmay
requireachangeinthedirectionofaninitiativeoreffort,
199
SolutionKnowledge(p.202),and
BusinessKnowledge
understandingtherisksinvolvedandtheabilitytomakedecisionson
managingrisks,
demonstratingtheabilitytorecognizeanopportunitytodecreaseexpenses
andincreaseprofits,and
understandingtheoptionsavailabletoaddressemergingchangesinthe
situation.
9.3.2
IndustryKnowledge
.1 Purpose
Industryknowledgeprovidesthebusinessanalystwithanunderstandingof
currentpracticesandactivitieswithinanindustry,andsimilarprocessesacross
industries.
.2 Description
Industryknowledgeisanunderstandingof:
currenttrends,
customersegments,
marketforces,
suppliers,
marketdrivers,
practices,
keyprocesses,
regulations,and
services,
otherfactorsthatimpactorare
impactedbytheindustryand
relatedindustries.
products,
definitions,
Industryknowledgeisalsoanunderstandingofhowacompanyispositioned
withinanindustry,anditsimpactsanddependencies,inregardstothemarket
andhumanresources.
Whendevelopingknowledgeaboutaparticularindustry,competitor,orcompany
thefollowingsetofquestionscanprovideguidance:
Whoarethetopleadersintheindustry?
Whichorganizationspromoteorregulatetheindustry?
Whatarethebenefitsofbeinginvolvedwiththeseorganizations?
Whoiscreatingpublicityreleases,participatinginconventions,and
deliveringmarketingmaterials?
Whatarethecomparisonsofproductsandservices?
Whatarethesatisfactionindicators/benchmarkingprojectsthatare
applicable?
Whatarethesuppliers,practices,equipmentandtoolsusedbyeach
company,andwhydotheyusethem?
200
BusinessKnowledge
Whatarethepotentialimpactsofweather,politicalunrest,ornatural
disasters?
Whoarethetargetcustomersandaretheythesameforthecompetition?
Whatimpactstheseasonalcyclesforproduction,marketing,andsales?
Doesitimpactstaffingorrequirechangesinprocesses?
Measuresofeffectiveindustryknowledgeinclude:
beingawareofactivitieswithinboththeenterpriseandthebroader
industry,
havingknowledgeofmajorcompetitorsandpartners,
beingfamiliarwiththelargestcustomersegments,
havingknowledgeofcommonproductsandproducttypes,
beingknowledgeableofsourcesofinformationabouttheindustry,
includingrelevanttradeorganizationsorjournals,
understandingofindustryspecificterms,standards,processesand
methodologies,and
understandingoftheindustryregulatoryenvironment.
9.3.3
OrganizationKnowledge
.1 Purpose
Organizationknowledgeprovidesanunderstandingofthemanagement
structureandbusinessarchitectureoftheenterprise.
.2 Definition
Organizationknowledgeincludesanunderstandingofhowtheenterprise
generatesprofits,accomplishesitsgoals,itsorganizationalstructure,the
relationshipsthatexistbetweenbusinessunits,andthepersonswhooccupykey
stakeholderpositions.Organizationknowledgealsoincludesunderstandingthe
organization'sformalandinformalcommunicationchannelsaswellasan
awarenessoftheinternalpoliticsthatinfluencedecisionmaking.
Measuresofeffectiveorganizationknowledgeinclude:
theabilitytoactaccordingtoinformalandformalcommunicationsand
authoritychannels,
understandingofterminologyorjargonusedintheorganization,
understandingoftheproductsorservicesofferedbytheorganization,
201
theabilitytoidentifykeytrendsshapingtheindustry,
BusinessKnowledge
theabilitytoidentifysubjectmatterexperts(SMEs)intheorganization,and
theabilitytonavigateorganizationalrelationshipsandpolitics.
9.3.4
SolutionKnowledge
.1 Purpose
Solutionknowledgeallowsbusinessanalyststoleveragetheirunderstandingof
existingdepartments,environments,ortechnologytoefficientlyidentifythemost
effectivemeansofimplementingachange.
.2 Definition
Whenthebusinessanalysiseffortinvolvesimprovinganexistingsolution,
businessanalystsapplyknowledgeandexperiencefromthepreviousworkonthe
solution.Familiaritywiththerangeofcommerciallyavailablesolutionsor
supplierscanassistwiththeidentificationofpossiblealternatives.Thebusiness
analystmayleverageknowledgegainedfrompriorexperiencestoexpeditethe
discoveryofpotentialchangesthroughelicitationorindepthanalysis.
Measuresofeffectivesolutionknowledgeinclude:
reducedtimeorcosttoimplementarequiredchange,
shortenedtimeonrequirementsanalysisand/orsolutiondesign,
understandingwhenalargerchangeis,orisnot,justifiedbasedon
businessbenefit,and
understandinghowadditionalcapabilitiesthatarepresent,butnot
currentlyused,canbedeployedtoprovidevalue.
9.3.5
MethodologyKnowledge
.1 Purpose
Understandingthemethodologiesusedbytheorganizationprovidesthebusiness
analystwithinformationregardingcontext,dependencies,opportunities,and
constraintsusedwhendevelopingabusinessanalysisapproach.
.2 Description
Methodologiesdeterminethetiming(bigstepsorsmallincrements),the
approach,theroleofthoseinvolved,theacceptedrisklevel,andotheraspectsof
howachangeisapproachedandmanaged.Organizationsadoptorcreatetheir
ownmethodologiestofitvaryinglevelsofculture,maturity,adaptability,risk,
uncertainty,andgovernance.
Knowledgeregardingavarietyofmethodologiesallowsthebusinessanalystto
quicklyadaptto,andperformin,newenvironments.
202
CommunicationSkills
Measuresofeffectivemethodologyknowledgeinclude:
theabilitytoadapttochangesinmethodologies,
thewillingnesstouseorlearnanewmethodology,
thesuccessfulintegrationofbusinessanalysistasksandtechniquesto
supportthecurrentmethodology,
familiaritywiththeterms,tools,andtechniquesprescribedbya
methodology,and
theabilitytoplaymultipleroleswithinactivitiesprescribedbya
methodology.
CommunicationSkills
Communicationistheactofasenderconveyinginformationtoareceiverina
methodwhichdeliversthemeaningthesenderintended.Activelisteningskills
helptodeepenunderstandingandtrustbetweenthesenderandthereceiver.
Effectivecommunicationbenefitsallstakeholders.
Communicationmaybeaccomplishedusingavarietyofdeliverymethods:verbal,
nonverbal,physical,andwritten.Mostcommunicationmethodsdealwith
words,whilesomemethodsdealwithmovementsandexpressions.Words,
gestures,andphrasesmayhavedifferentmeaningstodifferentindividuals.
Effectivecommunicationinvolvesboththesenderandreceiverpossessingthe
sameunderstandingoftheinformationbeingcommunicated.Asharedglossary
oftermsandcleargoalsareeffectivetoolstoavoidmisunderstandingsandthe
resultingcomplications.
Effectivecommunicationincludesadaptingcommunicationstylesandtechniques
totheknowledgelevelandcommunicationstylesofrecipients.Effective
communicatorsunderstandhowtone,bodylanguage,andcontextchangethe
meaningofwords.Gaininganunderstandingofthetermsandconcepts(priorto
theexchange)canprovidefruitfulbenefits.
Planningeffectivecommunicationincludesthesenderreviewingtheinformation
thatisknownaboutthereceiver.Differencesbetweenthesenderandthe
receiver,suchasnativelanguage,culture,motivations,priorities,communication,
learning,andthinkingstylesmaycallforspecificcommunicationmethods.Each
pieceofinformationmustbecarefullycraftedandpackagedtoensureitisclear
andunderstood.
Whenplanningtocommunicateinformation,thefollowingconsiderationsmay
behelpful:
considerwhatthereceiverknowsordoesnotknow,
structuretheinformationinalogical,comprehensiblemanner,
determinehowtobestpresenttheinformationtoconveytheintended
203
9.4
CommunicationSkills
meanings(forexample,usingvisualaids,graphs,diagrams,orbullet
points),and
understandtheexpectationsoftherecipients.
CommunicationSkillscorecompetenciesinclude:
VerbalCommunication(p.204),
NonVerbalCommunication(p.205),
WrittenCommunication(p.205),and
Listening(p.206).
9.4.1
VerbalCommunication
.1 Purpose
Businessanalystsuseverbalcommunicationtoconveyideas,concepts,facts,and
opinionstoavarietyofstakeholders.
.2 Description
Verbalcommunicationusesspokenwordstoconveyinformationfromthesender
tothereceiver.Verbalcommunicationskillsareusedtoexpressbusinessanalysis
information,ideas,concepts,facts,andopinions.Itallowsfortheefficient
transferofinformation,includingemotionalandothernonverbalcues.Itcanbe
pairedwithbothwrittenandnonverbalcommunication.
Verbalcommunicationdealsspecificallywiththesender'schoiceofwordsand
thetoneofvoice.Whenthereceiverisabletoseethesender,thesender'snon
verbalcommunicationimpactsthemeaningofthemessagebeingunderstoodby
thereceiver.Whenthesenderisabletoseethereceiver,thereceiverisproviding
aresponseandboththesenderandreceiverareengagedinadialogue,even
thoughthereceivermaynotbespeakingverbally.Monitoringthereceiver'snon
verbalcommunicationallowsthesendertoconsideradaptingthemessagefor
thereceiver.
Havinganunderstandingofthetoneofthecommunicationandhowitcan
positivelyornegativelyinfluencethelistenerallowsthebusinessanalysttomore
effectivelycommunicateverbally.Effectiveverbalcommunicationskillsinclude
theabilitytomakeone'smeaningunderstood.Thesendershouldpartnerverbal
communicationwithactivelisteningtoensurethatinformationpresentedis
beingunderstoodbythereceiver.
Measuresofeffectiveverbalcommunicationinclude:
restatingconceptstoensureallstakeholdersclearlyunderstandthesame
information,
assistingconversationstoreachproductiveconclusions,
204
CommunicationSkills
deliveringeffectivepresentationsbydesigningandpositioningcontentand
objectivesappropriately,and
communicatinganissue'simportantpointsinacalmandrationalmanner,
andpresentingsolutionoptions.
9.4.2
NonVerbalCommunication
.1 Purpose
Nonverbalcommunicationskillsenabletheeffectivesendingandreceivingof
messagesthroughbutnotlimitedtobodymovement,posture,facial
expressions,gestures,andeyecontact.
Communicationistypicallyfocuseduponwordsthatarewrittenorspoken.Non
verbalcommunication,however,isbelievedtoconveymuchmoremeaningthan
wordsalone.Moods,attitudes,andfeelingsimpactbodymovementandfacial
expressions.Nonverbalcommunicationbeginsimmediatelywhenonepersonis
abletoseeanother.Theeffectiveuseofnonverbalcommunicationskillscan
presentatrustworthy,confident,andcapabledemeanor.Beingawareofnon
verbalcommunicationprovidestheopportunitytobeawareandaddressthe
feelingsofothersthatarenotexpressedverbally.
Observinggesturesorexpressionscannotprovideacompleteunderstandingof
themessagebeingexpressedbythesenonverbalcues.Thesecuesareindicators
ofthefeelingsandintentofthecommunicator.Forexample,whena
stakeholder'snonverbalcommunicationdoesnotagreewiththeirverbal
message,thebusinessanalystmaywanttoexploretheconversationfurtherto
uncoverthesourceofthisdisagreement.
Measuresofeffectivenonverbalcommunicationinclude:
beingawareofbodylanguageinothers,butnotassumingacomplete
understandingthroughnonverbalcommunication,
intentionalawarenessofpersonalnonverbalcommunication,
improvingtrustandcommunicationasaresultofnonverbal
communication,and
effectivelyaddressingandresolvingsituationswhenastakeholder'snon
verbalcommunicationdoesnotagreewiththeirverbalmessage.
9.4.3
WrittenCommunication
.1 Purpose
Businessanalystsusewrittencommunicationtotoconveyideas,concepts,facts,
andopinionstovarietyofstakeholders.
205
.2 Definition
CommunicationSkills
.2 Definition
Writtencommunicationisthepracticeofusingtext,symbols,models(formalor
informal),andsketchestoconveyandshareinformation.Anunderstandingof
theaudienceisbeneficialtoeffectivelyusewrittencommunication.Presenting
informationandideasrequiresselectingthecorrectwordssotheaudiencewill
understandtheintendedmeaning.Writtencommunicationhastheadded
challengeofpresentinginformationatatimeorplacethatisremotefromthe
timeandplaceitwascreated.
Effectivewrittencommunicationrequiresabroadvocabulary,stronggraspof
grammarandstyle,andanunderstandingofthetermswhichwillbeunderstood
bytheaudience.Writtencommunicationhasthepotentialtoconveyagreatdeal
ofinformationhowever,conveyinginformationeffectivelyisaskillwhichmust
bedeveloped.
Measuresofeffectivewrittencommunicationinclude:
adjustingthestyleofwritingfortheneedsoftheaudience,
properuseofgrammarandstyle,
choosingwordstheaudiencewillunderstandtheintendedmeaningof,and
abilityofthereadertoparaphraseanddescribethecontentofthewritten
communication.
9.4.4
Listening
.1 Purpose
Effectivelisteningallowsthebusinessanalysttoaccuratelyunderstand
informationthatiscommunicatedverbally.
.2 Definition
Listeningistheprocessofnotjusthearingwordsbutunderstandingtheir
meaningincontext.Byexhibitingeffectivelisteningskills,businessanalystsnot
onlyhaveagreateropportunitytoaccuratelyunderstandwhatisbeing
communicated,butalsotodemonstratethattheythinkwhatthespeakeris
sayingisimportant.
Activelisteninginvolvesbothlisteningandinterpretingwhattheotherpersonis
tryingtocommunicatebeyondthewordsusedinordertounderstandthe
essenceofthemessage.Activelisteningincludessummarizingandrepeating
whatwasstatedindifferenttermsinordertoensurethatboththelistenerand
thespeakerhavethesameunderstanding.
Measuresofeffectivelisteninginclude:
givingthespeakerundividedattention,
206
InteractionSkills
acknowledgingthespeakerwithverbalornonverbalencouragement,
providingfeedbacktothepersonorthegroupthatisspeakingtoensure
thereisanunderstanding,and
usingactivelisteningskillsbydeferringjudgmentandresponding
appropriately.
9.5
InteractionSkills
Businessanalystsareuniquelypositionedtofacilitatestakeholder
communication,provideleadership,encouragecomprehensionofsolutionvalue,
andpromotestakeholdersupportoftheproposedchanges.
InteractionSkillscorecompetenciesinclude:
Facilitation(p.207),
LeadershipandInfluencing(p.208),
Teamwork(p.209),
NegotiationandConflictResolution(p.210),and
Teaching(p.210).
9.5.1
Facilitation
.1 Purpose
Businessanalystsfacilitateinteractionsbetweenstakeholdersinordertohelp
themmakeadecision,solveaproblem,exchangeideasandinformation,orreach
anagreementregardingthepriorityandthenatureofrequirements.Thebusiness
analystmayalsofacilitateinteractionsbetweenstakeholdersforthepurposesof
negotiationandconflictresolution(asdiscussedinNegotiationandConflict
Resolution(p.210)).
.2 Definition
Facilitationistheskillofmoderatingdiscussionswithinagroupinordertoenable
allparticipantstoeffectivelyarticulatetheirviewsonatopicunderdiscussion,
andtoensurethatparticipantsinthediscussionareabletorecognizeand
appreciatethedifferingpointsofviewthatarearticulated.
207
Interactionskillsarerepresentedbythebusinessanalyst'sabilitytorelate,
cooperate,andcommunicatewithdifferentkindsofpeopleincludingexecutives,
sponsors,colleagues,teammembers,developers,vendors,learningand
developmentprofessionals,endusers,customers,andsubjectmatterexperts
(SMEs).
InteractionSkills
Measuresofeffectivefacilitationinclude:
makingitcleartotheparticipantsthatthefacilitatorisathirdpartytothe
processandnotadecisionmakernortheownerofthetopic,
encouragingparticipationfromallattendees,
remainingneutralandnottakingsides,butatthesametimebeing
impartialandinterveningwhenrequiredinordertomakesuggestionsand
offerinsights,
establishinggroundrulessuchasbeingopentosuggestions,buildingon
whatisthere,notdismissingideas,andallowingotherstospeakand
expressthemselves,
ensuringthatparticipantsinadiscussioncorrectlyunderstandeachother's
positions,
usingmeetingmanagementskillsandtoolstokeepdiscussionsfocused
andorganized,
preventingdiscussionsfrombeingsidetrackedontoirrelevanttopics,and
understandingandconsideringallpartiesinterests,motivations,and
objectives.
9.5.2
LeadershipandInfluencing
.1 Purpose
Businessanalystsuseleadershipandinfluencingskillswhenguidingstakeholders
duringtheinvestigationofbusinessanalysisinformationandsolutionoptions.
Theybuildconsensusandencouragestakeholdersupportandcollaboration
duringchange.
.2 Definition
Leadershipandinfluencinginvolvesmotivatingpeopletoactinwaysthatenable
themtoworktogethertoachievesharedgoalsandobjectives.Understandingthe
individualmotives,needs,andcapabilitiesofeachstakeholderandhowthosecan
beeffectivelychanneledassistsbusinessanalystsinmeetingthesharedobjectives
oftheorganization.Thebusinessanalystsresponsibilityfordefining,analyzing,
andcommunicatingbusinessanalysisinformationprovidesopportunitiesfor
leadershipandinfluencing,whetherornottherearepeopleformallyreportingto
thebusinessanalyst.
Measuresofeffectiveleadershipandinfluencinginclude:
reducedresistancetonecessarychanges,
articulationofaclearandinspiringvisionofadesiredfuturestate,
successininspiringotherstoturnvisionintoaction,
208
InteractionSkills
influenceonstakeholderstounderstandmutualinterests,
effectiveuseofcollaborationtechniquestoinfluenceothers,
influenceonstakeholderstoconsiderbroaderobjectivesoverpersonal
motivations,and
reframingissuessoalternateperspectivescanbeunderstoodand
accommodatedtoinfluencestakeholderstowardssharedgoals.
9.5.3
Teamwork
.1 Purpose
.2 Definition
Businessanalystsoftenworkaspartofateamwithotherbusinessanalysts,
projectmanagers,stakeholders,andsubjectmatterexperts(SMEs).Relationships
withpeopleinthoserolesareacriticalpartofthesuccessofanyprojector
enterprise.Itisimportantforthebusinessanalysttounderstandhowateamis
formedandhowitfunctions.Recognizingteamdynamicsandhowtheyplaya
partastheteamprogressesthroughvariousstagesofaprojectisalsocrucial.
Knowingandadaptingtohowandwhenateamisprogressingthrougha
project'slifecyclecanlowerthenegativeinfluencesthatimpactateam.
Buildingandmaintainingtrustofteammatescontributestotheintegrityofthe
teamasawholeandhelpstheteamperformatitsfullestcapacity.Whenteam
membersactivelyfosteranenvironmentforpositiveandtrustingteamdynamics,
difficultdecisionsandchallengesbecomelesscomplicated.
Teamconflictiscommon.Ifhandledwell,theresolutionofconflictcanbenefit
theteam.Resolvingconflictrequirestheteamtofocusonexaminingthe
positions,assumptions,observations,andexpectationsofallteammembers.
Workingthroughsuchproblemscanhavethebeneficialeffectofstrengthening
thefoundationoftheanalysisandthesolution.
Measuresofeffectiveteamworkinclude:
fosteringacollaborativeworkingenvironment,
effectivelyresolvingconflict,
developingtrustamongteammembers,
supportamongtheteamforsharedhighstandardsofachievement,and
promotingasharedsenseofownershipoftheteamgoals.
209
Teamworkskillsallowbusinessanalyststoworkproductivelywithteammembers,
stakeholders,andanyothervestedpartnerssothatsolutionscanbeeffectively
developedandimplemented.
InteractionSkills
9.5.4
NegotiationandConflictResolution
.1 Purpose
Businessanalystsoccasionallymediatenegotiationsbetweenstakeholdersin
ordertoreachacommonunderstandingoranagreement.Duringthisprocess,
businessanalystshelpresolveconflictsanddifferencesofopinionwiththeintent
ofmaintainingandstrengtheningworkingrelationshipsamongstakeholdersand
teammembers.
.2 Definition
Negotiationandconflictresolutioninvolvesmediatingdiscussionsbetween
participantsinordertohelpthemrecognizethattherearedifferingviewsonthe
topic,resolvedifferences,andreachconclusionsthathavetheagreementofall
participants.Successfulnegotiationandconflictresolutionincludesidentifying
theunderlyinginterestsoftheparties,distinguishingthoseinterestsfromtheir
statedpositions,andhelpingthepartiesidentifysolutionsthatsatisfythose
underlyinginterests.Thebusinessanalystaccomplishesthiswhileensuringthat
theoutcomeoftheresolutionalignswiththeoverallsolutionandthebusiness
needs.
Measuresofeffectivenegotiationandconflictresolutioninclude:
aplannedapproachtoensurethatthenegotiationtakesintoaccountthe
toneofvoice,theconveyedattitude,themethodsused,andtheconcern
fortheothersidesfeelingsandneeds,
theabilitytorecognizethattheneedsofthepartiesarenotalwaysin
oppositionandthatitisoftenpossibletosatisfybothpartieswithouteither
sidelosing,
anobjectiveapproachtoensuretheproblemisseparatedfromtheperson
sothattherealissuesaredebatedwithoutdamagingworkingrelationships,
and
theabilitytorecognizethateffectivenegotiationandconflictresolutionare
notalwaysachievedinasingleautonomousmeeting,andthatsometimes
severalmeetingsarerequiredinordertoachievethestatedgoals.
9.5.5
Teaching
.1 Purpose
Teachingskillshelpbusinessanalystseffectivelycommunicatebusinessanalysis
information,concepts,ideas,andissues.Theyalsohelpensurethatinformationis
understoodandretainedbystakeholders.
.2 Definition
Teachingistheprocessofleadingotherstogainknowledge.Businessanalystsare
responsibleforconfirmingthattheinformationcommunicatedhasbeen
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ToolsandTechnology
understoodbystakeholders.Businessanalystsleadstakeholderstodiscoverclarity
inambiguitybyhelpingthemlearnaboutthecontextsandvalueoftheneeds
beinginvestigated.Thisrequiresteachingskillsinselectingthemostappropriate
visual,verbal,written,andkinestheticteachingapproachesaccordingtothe
informationortechniquesbeingtaught.Theintentistodrawoutstakeholder
engagementandcollaborativelearningtogainclarity.Businessanalysts
frequentlyelicitandlearnnewinformation,andthenteachthisinformationto
stakeholdersinameaningfulway.
Measuresofeffectiveteachinginclude:
utilizingdifferentmethodstocommunicateinformationtobelearnedby
stakeholders,
validatingthataudienceshaveaclearunderstandingofthekeymessages
thatareintendedtobelearned,and
verifyingthatthestakeholderscandemonstratethenewknowledge,facts,
concepts,andideas.
9.6
ToolsandTechnology
Businessanalystsuseavarietyofsoftwareapplicationstosupportcommunication
andcollaboration,createandmaintainrequirementsartifacts,modelconcepts,
trackissues,andincreaseoverallproductivity.
Requirementsdocumentationisoftendevelopedusingwordprocessingtools,
whiletheprocessofdevelopingbusinessrequirementsmayrequiretheuseof
prototypingandsimulationtools,aswellasspecializedtoolsformodellingand
diagramming.
Requirementsmanagementtechnologiessupportrequirementsworkflow,
approvals,baselining,andchangecontrol.Thesetechnologiescanalsosupport
thetraceabilitybetweenrequirementsandassistindeterminingtheimpactof
changestorequirements.
Interactingwiththestakeholdersandteammembersmayrequiretheuseof
communicationandcollaborationtools,aswellaspresentationsoftwareinorder
toshowcaseideasandgeneratediscussionamongstakeholdersandteam
members.
BusinessAnalysisToolsandTechnologycorecompetenciesinclude:
OfficeProductivityToolsandTechnology(p.212),
BusinessAnalysisToolsandTechnology(p.213),and
CommunicationToolsandTechnology(p.215).
211
discoveringnewinformationthroughhighlevelsofstakeholder
engagement,
ToolsandTechnology
9.6.1
OfficeProductivityToolsandTechnology
.1 Purpose
Businessanalystsuseofficeproductivitytoolsandtechnologytodocumentand
trackinformationandartifacts.
.2 Definition
Officeproductivitytoolsandtechnologyprovidebusinessanalystswiththeability
toorganize,dissect,manipulate,understand,andcommunicateinformation
clearly.Utilizingthesetoolsrequiresbecomingfamiliarwithavailableresources.
Understandingonesoftwareprogrammayprovideinsightsintocomparable
abilitiesoroperationsinsimilarprograms.Additionally,someprogramsare
designedtoprovideadditionaltoolstootherprogramsorexchangeinformation,
suchasemailorprogramsthatcanimport/exportfiles.Manyorganizations
utilizethesetoolstostudy,store,anddistributeinformation.
Officeproductivitytoolsandtechnologyincludethefollowing:
Wordprocessingandpresentationprograms:providetheabilitytopresent
informationintheformofaletter,newspaper,poster,researchpaper,slide
presentation,oranimations.Wordprocessorsarecommonlyusedtodevelop
andmaintainrequirementsdocuments,allowingagreatdealofcontrolover
theirformattingandpresentation.Standardrequirementsdocumentation
templatesarewidelyavailableforwordprocessors.Mostwordprocessingtools
havealimitedcapabilitytotrackchangesandrecordcomments,andarenot
designedforcollaborativeauthoringhowever,therearecloudsolutionsthat
providecollaborativefunctionality.
Presentationsoftware:servesinthecreationoftrainingmaterialsorto
presentinformationtostimulatediscussionamongstakeholders.Someofthese
applicationscanbeusedinaverylimitedwaytocapturerequirementsorcreate
abasicprototype.
Spreadsheets:allowmathematicalandlogicalmanipulation.Theyareoften
usedtomaintainlists(suchasatomicrequirements,features,actions,issues,or
defects).Theyarealsousedtocaptureandperformbasicmanipulationof
numericdata.Theycansupportdecisionanalysis,andareveryeffectiveat
summarizingcomplexscenarios.Theysupportlimitedchangetrackingandcan
besharedamongmultipleusersinthesamewayasawordprocessing
document.
Communicationtools(emailandinstantmessagingprograms):provide
themeanstocommunicatewithstakeholderswhoareremotelylocated,who
cannotrespondtoqueriesimmediately,orwhomayneedalongertermrecord
ofadiscussion.Theyaregenerallyavailabletoalmostallstakeholdersandare
veryeasytouse.However,theyaregenerallynoteffectiveforlongterm
storageorretentionofinformation.Theirprimaryuseistofacilitate
communicationovertimeordistance.
Collaborationandknowledgemanagementtools:supportthecapturing
ofknowledgedistributedthroughoutanorganizationandmakeitaswidely
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ToolsandTechnology
availableaspossible.Theyallowdocumentstobeaccessiblebyanentireteam,
andfacilitatecollaboration.Theyalsoenablemultipleuserstoworkona
documentsimultaneously,andgenerallysupportcommentsanddiscussion
aboutdocumentcontent.Thesetoolsmaytaketheformofadocument
repository(whichintegrateswithofficeproductivitysoftware),wikis(which
alloweasycreationandlinkingofwebpages),discussionforums,cloud
services,orotherwebbasedtools.
Hardware:allowsforthereplicationanddistributionofinformationto
facilitatecommunicationwithstakeholders.Toolssuchasprintersanddigital
projectorsareoftenusedtotranslatedigitalinformationgeneratedona
computerintophysicalinformationforeaseofuse.Photocopiersandscanners
copyphysicaldocumentsandcanprovidetheabilitytosharethem
electronically.
Measuresofeffectiveofficeproductivitytoolsandtechnologyinclude:
increasedefficienciesandstreamliningofprocessesbyexploringfeatures
andfunctionsoftools,
awarenessofavailabletools,theiroperation,andabilities,
theabilitytodeterminethetoolthatwillbestmeetstakeholderneeds,and
theabilitytoclearlycommunicatethemajorfeaturesofavailabletools.
9.6.2
BusinessAnalysisToolsandTechnology
.1 Purpose
Businessanalystsuseavarietyoftoolsandtechnologytomodel,document,and
manageoutputsofbusinessanalysisactivitiesanddeliverablestostakeholders.
.2 Definition
Toolsthatarespecifictothefieldofbusinessanalysisprovidespecialized
capabilitiesin:
modelling,
diagramming,
documenting,
analyzingandmappingrequirements,
identifyingrelationshipsbetweenrequirements,
trackingandstoringrequirementsartifacts,and
communicatingwithstakeholders.
Somebusinessanalysistoolsandtechnologiesfocussolelyonasinglebusiness
analysisactivityandsomeintegratemultiplebusinessanalysisfunctionsintoa
singletool.Toolsspecificallydesignedforbusinessanalysismayincludesuch
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ToolsandTechnology
functionalityasmodelling,requirementsmanagement,issuetracking,
prototypingandsimulation,computeraidedsoftwareengineering(CASE),and
surveyengines.
Modellingtoolscanprovidefunctionalitythatassistsbusinessanalystswitha
numberofmodellingrelatedtasks,including:
creatingmodelsandvisualstohelpalignstakeholdersandoutlinethe
relationshipofneeds,entities,requirements,stakeholders,andcontext,
tracingvisualstobusinessrules,textrequirements,scopestatements,scope
visuals,datarequirements,productneeds,andotherrequirementscontext
andinformation,and
creatinganexecutableforaproprietaryengineinordertoexecutethe
modelorgenerateanapplicationcodewhichcanbeenhancedbya
developer.
Thesetoolsfrequentlyvalidatecompliancewiththenotation.Somemodelling
toolssupportthecreationofexecutablemodels,suchasbusinessprocess
managementsystems(whichallowforthecreationofexecutableprocessmodels)
andbusinessrulesmanagementsystems(whichallowfortheevaluationof
capturedbusinessrules).
Requirementsmanagementtechnologiescanprovidefunctionalitythatassists
businessanalystswithanumberofrequirementsmanagementrelatedtasks
including:
requirementsworkflowincludingbaselining,approvalsandsignoff,
changecontrol,andimplementationstatus,
traceabilityincludingbackwardstraceability,forwardstraceability,
relationshipsbetweenrequirements,andimpactanalysisofrequirements
change,
configurationmanagementofrequirementsandrequirementsartifacts,and
verifyingthequalityofrequirementsthroughcheckingfordefined
characteristicsandrelationships.
Issuetrackingtoolscanprovidefunctionalitythatassistsbusinessanalystswitha
numberofissuetrackingrelatedtaskssuchas:
trackingrequirementsrisks,
trackingrequirementsconflictsandissues,and
trackingdefects.
Prototypingandsimulationtoolscanprovidefunctionalitythatassistsbusiness
analystswithprototypingorsimulatingthesolutionorpiecesofthesolution.
Measuresofeffectivebusinessanalysistoolsandtechnologyinclude:
theabilitytoapplyanunderstandingofonetoolandothersimilartools,
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ToolsandTechnology
beingabletoidentifymajortoolscurrentlyavailableanddescribetheir
strengths,weaknesses,andhowtheymaybeusedinanygivensituation,
understandingofandtheabilitytousethemajorfeaturesofthetool,
abilitytoselectatoolortoolsthatsupportorganizationalprocesses,
theabilitytousethetoolstocompleterequirementsrelatedactivitiesmore
rapidlythanotherwisepossible,and
theabilitytotrackchangestotherequirementsandtheirimpactonthe
solutionimplementation,stakeholders,andvalue.
9.6.3
CommunicationToolsandTechnology
.1 Purpose
.2 Definition
Communicationtoolsareusedtoplanandcompletetasksrelatedto
conversationalinteractionsandcollaborativeinteractions.Communicationtools
allowbusinessanalyststoworkwithvirtualandcolocatedteams.
Understandingtheoptionsavailablewiththesetoolsandknowinghowtouse
variouscommunicationstoolstocompletetasksandutilizevarioustechniquesin
avarietyofcollaborationenvironmentscanenablemoreefficientandaccurate
communicationandmoreeffectivedecisionmaking.Businessanalystsselectthe
appropriatetoolandtechnologyforthesituationandstakeholdergroupwhile
balancingcost,risk,andvalue.
Examplesofconversationinteractiontoolsincludevoicecommunications,instant
messaging,onlinechat,email,blogging,andmicroblogging.
Examplesofcollaborationtoolsincludevideoconferencing,electronicwhite
boarding,wikis,electroniccalendars,onlinebrainstormingtools,electronic
decisionmaking,electronicvoting,documentsharing,andideasharing.
Measuresofeffectivecommunicationtoolsandtechnologyinclude:
theselectionofappropriateandeffectivetoolsfortheaudienceand
purpose,
effectivelychoosingwhentousecommunicationtechnologyandwhennot
to,
theabilitytoidentifytoolstomeetcommunicationneeds,and
understandingofandtheabilitytousefeaturesofthetool.
215
Businessanalystsusecommunicationtoolsandtechnologytoperformbusiness
analysisactivities,manageteams,andcollaboratewithstakeholders.
ToolsandTechnology
216
TheTechniqueschapterprovidesahighleveloverviewofthetechniques
referencedintheKnowledgeAreasoftheBABOK Guide.Techniquesare
methodsbusinessanalystsusetoperformbusinessanalysistasks.
ThetechniquesdescribedintheBABOK Guideareintendedtocoverthemost
commonandwidespreadtechniquespracticedwithinthebusinessanalysis
community.Businessanalystsapplytheir experienceandjudgmentindetermining
whichtechniquesareappropriatetoagivensituationandhowtoapplyeach
technique.ThismayincludetechniquesthatarenotdescribedintheBABOK
Guide.Asthepracticeofbusinessanalysisevolves,techniqueswillbeadded,
changed,orremovedfromfutureiterationsoftheBABOK Guide.
Inanumberofcases,asetofconceptuallysimilarapproacheshavebeengrouped
intoasingletechnique.Anyapproachwithinatechniquemaybeused
individuallyorincombinationtoaccomplishthetechnique'spurpose.
10.1
10.1.1
AcceptanceandEvaluationCriteria
Purpose
Acceptancecriteriaareusedtodefinetherequirements,outcomes,orconditions
thatmustbemetinorderforasolutiontobeconsideredacceptabletokey
stakeholders.Evaluationcriteriaarethemeasuresusedtoassessasetof
requirementsinordertochoosebetweenmultiplesolutions.
217
10
Techniques
10.1.2
Techniques
Description
Acceptanceandevaluationcriteriadefinemeasuresofvalueattributestobeused
forassessingandcomparingsolutionsandalternativedesigns.Measurableand
testablecriteriaallowfortheobjectiveandconsistentassessmentofsolutionsand
designs.TheAcceptanceandEvaluationCriteriatechniquecanapplyatalllevels
ofaproject,fromhighleveltoamoredetailedlevel.
Acceptancecriteriadescribetheminimumsetofrequirementsthatmustbemet
inorderforaparticularsolutiontobeworthimplementing.Theymaybeusedto
determineifasolutionorsolutioncomponentcanmeetarequirement.
Acceptancecriteriaaretypicallyusedwhenonlyonepossiblesolutionisbeing
evaluated,andaregenerallyexpressedasapassorfail.
Evaluationcriteriadefineasetofmeasurementswhichallowforrankingof
solutionsandalternativedesignsaccordingtotheirvalueforstakeholders.Each
evaluationcriterionrepresentsacontinuousordiscretescaleformeasuringa
specificsolutionattributesuchascost,performance,usability,andhowwellthe
functionalityrepresentsthestakeholdersneeds.Attributesthatcannotbe
measureddirectlyareevaluatedusingexpertjudgmentorvariousscoring
techniques.
Bothevaluationandacceptancecriteriamaybedefinedwiththesamevalue
attributes.Whenevaluatingvarioussolutions,thesolutionswithlowercostsand
betterperformancemayberatedhigher.Whenacceptingasolution,thecriteria
arewrittenusingminimumperformancerequirementsandmaximumcostlimits
incontractualagreementsanduseracceptancetests.
10.1.3
Elements
.1 ValueAttributes
Valueattributesarethecharacteristicsofasolutionthatdetermineor
substantiallyinfluenceitsvalueforstakeholders.Theyrepresentameaningfuland
agreedupondecompositionofthevaluepropositionintoitsconstituentparts,
whichcanbedescribedasqualitiesthatthesolutionshouldeitherpossessor
avoid.
Examplesofvalueattributesinclude:
abilitytoprovidespecificinformation,
abilitytoperformorsupportspecificoperations,
performanceandresponsivenesscharacteristics,
applicabilityofthesolutioninspecificsituationsandcontexts,
availabilityofspecificfeaturesandcapabilities,and
usability,security,scalability,andreliability.
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Techniques
Basingacceptanceandevaluationcriteriaonvalueattributesensuresthattheyare
validandrelevanttostakeholderneedsandshouldbeconsideredwhenaccepting
andevaluatingthesolution.Businessanalystsensurethatthedefinitionofall
valueattributesareagreeduponbyallstakeholders.Businessanalystsmaydesign
toolsandinstructionsforperformingtheassessmentaswellasforrecordingand
processingitsresults.
Figure10.1.1:AcceptanceandEvaluationCriteria
OneSolution
Acceptance
Criteria
Requirementsthat
mustbemetin
orderforasolution
tobeconsidered
Test
Conduct
UserAcceptance
Testing
Requirements
PassorFail
MultipleSolutions
Evaluation
Criteria
ValueAttributes:
Cost
Performance
Usability
Functionality
Define
Measures
Criteriausedto
assessvalue
deliveredby
potentialsolutions
Measure
Solutions
SolutionValue
Ranking
.2 Assessment
Inordertoassessasolutionagainstacceptanceorevaluationcriteria,itmustbe
constructedinameasurableformat.
Testability
Acceptancecriteriaareexpressedinatestableform.Thismayrequirebreaking
requirementsdownintoanatomicformsothattestcasescanbewrittentoverify
thesolutionagainstthecriteria.Acceptancecriteriaarepresentedintheformof
statementswhichcanbeverifiedastrueorfalse.Thisisoftenachievedthrough
useracceptancetesting(UAT).
Measures
Evaluationcriteriaprovideawaytodetermineiffeaturesprovidethevalue
necessarytosatisfystakeholderneeds.Thecriteriaarepresentedasparameters
thatcanbemeasuredagainstacontinuousordiscretescale.Thedefinitionof
eachcriterionallowsthesolutiontobemeasuredthroughvariousmethodssuch
asbenchmarkingorexpertjudgment.Definingevaluationcriteriamayinvolve
designingtoolsandinstructionsforperformingtheassessment,aswellasfor
recordingandprocessingitsresults.
219
ValueAttributes:
Cost
Performance
Usability
Functionality
Define
Requirements
BacklogManagement
10.1.4
Techniques
UsageConsiderations
.1 Strengths
Agilemethodologiesmayrequirethatallrequirementsbeexpressedintheform
oftestableacceptancecriteria.
Acceptancecriteriaarenecessarywhentherequirementsexpresscontractual
obligations.
Acceptancecriteriaprovidetheabilitytoassessrequirementsbasedonagreed
uponcriteria.
Evaluationcriteriaprovidetheabilitytoassessdiverseneedsbasedonagreed
uponcriteria,suchasfeatures,commonindicators,localorglobalbenchmarks,
andagreedratios.
Evaluationcriteriaassistinthedeliveryofexpectedreturnoninvestment(ROI)
orotherwisespecifiedpotentialvalue.
Evaluationcriteriahelpsindefiningpriorities.
.2 Limitations
Acceptancecriteriamayexpresscontractualobligationsandassuchmaybe
difficulttochangeforlegalorpoliticalreasons.
Achievingagreementonevaluationcriteriafordifferentneedsamongdiverse
stakeholderscanbechallenging.
10.2
10.2.1
BacklogManagement
Purpose
Thebacklogisusedtorecord,track,andprioritizeremainingworkitems.
10.2.2
Description
Abacklogoccurswhenthevolumeofworkitemstobecompletedexceedsthe
capacitytocompletethem.
Backlogmanagementreferstotheplannedapproachtodetermine:
whatworkitemsshouldbeformallyincludedinthebacklog,
howtodescribetheworkitems,
howtheworkitemsshouldbetracked,
howtheworkitemsshouldbeperiodicallyreviewedandprioritizedin
relationtoallotheritemsinthebacklog,
howtheworkitemsareeventuallyselectedtobeworkedon,and
howtheworkitemsareeventuallyremovedfromthebacklog.
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Techniques
BacklogManagement
Inamanagedbacklog,theitemsatthetophavethehighestbusinessvalueand
thehighestpriority.Thesearenormallythenextitemstobeselectedtobeworked
on.
Periodicreviewoftheentirebacklogshouldoccurbecausechangesin
stakeholderneedsandprioritiesmaynecessitatechangestothepriorityofsome
ofthebacklogitems.Inmanyenvironments,thebacklogisreviewedatplanned
intervals.
Thechangestothenumberofitemsinthebacklogareregularlymonitored.The
rootcausesforthesechangesareinvestigated:agrowingbacklogcouldindicate
anincreaseindemandoradropinproductivityadecliningbacklogcould
indicateadropindemandorimprovementsintheproductionprocess.
10.2.3
Elements
.1 ItemsintheBacklog
Backlogitemsmaybeanykindofitemwhichmayhaveworkassociatedwithit.
Abacklogmaycontain,butisnotlimitedto,anycombinationofthefollowing
items:
usecases,
changerequests,
userstories,
defects,
functionalrequirements,
plannedrework,
nonfunctionalrequirements,
maintenance,
designs,
conductingapresentation,or
customerorders,
completingadocument.
riskitems,
Anitemisaddedtothebacklogifithasvaluetoastakeholder.Theremaybeone
personwiththeauthoritytoaddnewitemstothebacklog,ortherecouldbea
committeewhichaddsnewitemsbasedonaconsensus.Insomecases,the
responsibilityforaddingnewitemsmaybedelegatedtothebusinessanalyst.
Theremayalsobepoliciesandruleswhichdictatewhatistobeaddedandwhen,
asmaybethecasewithmajorproductdefects.
.2 Prioritization
Itemsinthebacklogareprioritizedrelativetoeachother.Overtime,these
prioritieswillchangeasstakeholdersprioritieschange,orasdependencies
betweenbacklogitemsemerge.Rulesonhowtomanagethebacklogmayalso
impactpriority.
Amultiphasedprioritizationapproachcanalsobeused.Whenitemsarefirst
addedtothebacklog,theprioritizationmaybeverybroad,usingcategoriessuch
221
Theremaybemorethanonebacklog.Forexample,onebacklogmaybeusedto
manageaglobalsetofitems,whileasecondbacklogmaybeusedtomanagethe
itemsthatareduetobeworkedonwithintheverynearfuture.
BacklogManagement
Techniques
ashigh,medium,orlow.Thehighpriorityitemstendtobereviewedmore
frequentlysincetheyarelikelycandidatesforupcomingwork.Todifferentiate
betweenthehighpriorityitems,amoregranularapproachisusedtospecifythe
relativeprioritytootherhighpriorityitems,suchasanumericalrankingbasedon
somemeasureofvalue.
.3 Estimation
Thelevelofdetailusedtodescribeeachbacklogitemmayvaryconsiderably.
Itemsnearthetopofthebacklogareusuallydescribedinmoredetail,witha
correspondinglyaccurateestimateabouttheirrelativesizeandcomplexitythat
wouldhelptodeterminethecostandefforttocompletethem.Whenanitemis
firstadded,theremaybeverylittledetailincluded,especiallyiftheitemisnot
likelytobeworkedoninthenearterm.
Aminimalamountofworkisdoneoneachitemwhileitisonthebacklogjust
enoughtobeabletounderstandtheworkinvolvedtocompleteit.Asthework
progressesonotheritemsinthebacklog,anindividualitemsrelativeprioritymay
rise,leadingtoaneedtoreviewitandpossiblyfurtherelaborateordecomposeit
tobetterunderstandandestimateitssizeandcomplexity.
Feedbackfromtheproductionprocessaboutthecostandefforttocomplete
earlieritemscanbeusedtorefinetheestimatesofitemsstillinthebacklog.
.4 ManagingChangestotheBacklog
Itemsmaketheirwaytothetopofthebacklogbasedontheirrelativepriorityto
otheritemsinthebacklog.Whenneworchangedrequirementsareidentified,
theyareaddedtothebacklogandorderedrelativetotheotheritemsalready
there.
Wheneverworkcapacitybecomesavailablethebacklogisreviewedanditemsare
selectedbasedontheavailablecapacity,dependenciesbetweenitems,current
understandingofthesize,andcomplexity.
Itemsareremovedfromthebacklogwhentheyarecompleted,orifadecision
hasbeenmadetonotdoanymoreworkonthem.However,removeditemscan
bereaddedtothebacklogforavarietyofreasons,including:
stakeholderneedscouldchangesignificantly,
itcouldbemoretimeconsumingthanestimated,
otherpriorityitemscouldtakelongertocompletethanestimated,or
theresultingworkproductmighthavedefects.
10.2.4
UsageConsiderations
.1 Strengths
Aneffectiveapproachtorespondingtochangingstakeholderneedsand
prioritiesbecausethenextworkitemsselectedfromthebacklogarealways
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Techniques
BalancedScorecard
alignedwithcurrentstakeholderpriorities.
Onlyitemsnearthetopofthebacklogareelaboratedandestimatedindetail
itemsnearthebottomofthebacklogreflectlowerprioritiesandreceiveless
attentionandeffort.
Canbeaneffectivecommunicationvehiclebecausestakeholderscan
understandwhatitemsareabouttobeworkedon,whatitemsarescheduled
fartherout,andwhichonesmaynotbeworkedonforsometime.
.2 Limitations
Largebacklogsmaybecomecumbersomeanddifficulttomanage.
Ittakesexperiencetobeabletobreakdowntheworktobedoneintoenough
detailforaccurateestimation.
10.3
10.3.1
BalancedScorecard
Purpose
Thebalancedscorecardisusedtomanageperformanceinanybusinessmodel,
organizationalstructure,orbusinessprocess.
10.3.2
Description
Thebalancedscorecardisastrategicplanningandmanagementtoolusedto
measureorganizationalperformancebeyondthetraditionalfinancialmeasures.It
isoutcomefocusedandprovidesabalancedviewofanenterpriseby
implementingthestrategicplanasanactiveframeworkofobjectivesand
performancemeasures.Theunderlyingpremiseofthebalancedscorecardisthat
thedriversofvaluecreationareunderstood,measured,andoptimizedinorderto
createsustainableperformance.
Thebalancedscorecardiscomposedoffourdimensions:
LearningandGrowth,
BusinessProcess,
Customer,and
Financial.
Thebalancedscorecardincludestangibleobjectives,specificmeasures,and
targetedoutcomesderivedfromanorganization'svisionandstrategy.Balanced
businessscorecardscanbeusedatmultiplelevelswithinanorganization.This
includesatanenterprisewidelevel(macrolevel),departmentalorfunctionlevel,
andevenatthelevelofaprojectorinitiative.
223
Alackofdetailintheitemsinthebacklogcanresultinlostinformationover
time.
BalancedScorecard
Techniques
Figure10.3.1:BalancedScorecard
Tosucceedfinancially,howshouldwe
appeartoourshareholders?
Financial
Objectives
Measures
Targets
Initiatives
Toachieveour
vision,howshould
weappeartoour
customers?
Customer
Tosatisfyour
shareholdersand
customers,what
businessprocesses
mustweexcelat?
InternalBusinessProcess
Vision
and
Strategy
Objectives
Measures
Targets
Initiatives
Objectives
Measures
Targets
Initiatives
LearningandGrowth
Objectives
Measures
Targets
Initiatives
Toachieveourvision,howwillwesustainour
abilitytochangeandimprove?
10.3.3
Elements
.1 LearningandGrowthDimension
TheLearningandGrowthdimensionincludesmeasuresregardingemployee
trainingandlearning,productandserviceinnovation,andcorporateculture.
Metricsguidetheuseoftrainingfunds,mentoring,knowledgesharing,and
technologyimprovements.
.2 BusinessProcessDimension
TheBusinessProcessdimensionincludesmetricsthatindicatehowwellthe
enterpriseisoperatingandiftheirproductsmeetcustomerneeds.
.3 CustomerDimension
TheCustomerdimensionincludesmetricsoncustomerfocus,satisfactionand
deliveryofvalue.Thesemetricscapturehowwellcustomerneedsaremet,how
satisfiedtheyarewithproductsandservices,whetherthedeliveryofthose
productsandservicesmeettheirqualityexpectations,andtheiroverallexperience
withtheenterprise.
224
Techniques
BalancedScorecard
.4 FinancialDimension
TheFinancialdimensionidentifieswhatisfinanciallynecessarytorealizethe
strategy.Examplesoffinancialmeasuresindicateprofitability,revenuegrowth,
andaddedeconomicvalue.
.5 MeasuresorIndicators
Therearetwobasictypesofmeasuresorindicators:laggingindicatorsthat
provideresultsofactionsalreadytakenandleadingindicatorsthatprovide
informationaboutfutureperformance.
Objectivestendtohavelaggingindicators,butusingrelatedleadingindicators
canprovidemorerealtimeperformanceinformation.
UsageConsiderations
Inorderformeasurestobemeaningfultheyshouldbequantitative,linkedto
strategy,andeasilyunderstoodbyallstakeholders.Whendefiningmeasures,
businessanalystsconsiderotherrelevantmeasuresthatareinplaceandensure
thatanyneworchangedmeasuresdonotadverselyimpactanyexistingones.At
anytime,anydimensionofthebalancedscorecardmaybeactive,changing,and
evolving.Eachdimensionaffectsandisaffectedbytheothers.Thebalanced
scorecardallowstheorganizationtoestablishmonitoringandmeasuringof
progressagainstobjectivesandtoadaptstrategyasneeded.
Becausescorecardsareusedtoassesstheperformanceoftheenterpriseora
businessunitwithintheenterprise,changestothemeasurescanhavewide
reachingimplicationsandmustbeclearlycommunicatedandcarefullymanaged.
.1 Strengths
Facilitatesholisticandbalancedplanningandthinking.
Short,medium,andlongtermgoalscanbeharmonizedintoprogramswith
incrementalsuccessmeasures.
Strategic,tactical,andoperationalteamsaremoreeasilyalignedintheirwork.
Encouragesforwardthinkingandcompetitiveness.
.2 Limitations
Alackofaclearstrategymakesaligningthedimensionsdifficult.
Canbeseenasthesingletoolforstrategicplanningratherthanjustonetoolto
beusedinasuiteofstrategicplanningtools.
Canbemisinterpretedasareplacementforstrategicplanning,execution,and
measurement.
225
10.3.4
BenchmarkingandMarketAnalysis
10.4
10.4.1
Techniques
Purpose
Benchmarkingandmarketanalysisareconductedtoimproveorganizational
operations,increasecustomersatisfaction,andincreasevaluetostakeholders.
10.4.2
Description
Benchmarkstudiesareconductedtocompareorganizationalpracticesagainst
thebestinclasspractices.Bestpracticesmaybefoundincompetitorenterprises,
ingovernment,orfromindustryassociations.Theobjectiveofbenchmarkingisto
evaluateenterpriseperformanceandensurethattheenterpriseisoperating
efficiently.Benchmarkingmayalsobeperformedagainststandardsfor
compliancepurposes.Theresultsfromthebenchmarkstudymayinitiatechange
withinanorganization.
Marketanalysisinvolvesresearchingcustomersinordertodeterminethe
productsandservicesthattheyneedorwant,thefactorsthatinfluencetheir
decisionstopurchase,andthecompetitorsthatexistinthemarket.Theobjective
ofmarketanalysisistoacquirethisinformationinordertosupportthevarious
decisionmakingprocesseswithinanorganization.Marketanalysiscanalsohelp
determinewhentoexitamarket.Itmaybeusedtodetermineifpartnering,
merging,ordivestingareviablealternativesforanenterprise.
10.4.3
Elements
.1 Benchmarking
Benchmarkingincludes:
identifyingtheareastobestudied,
identifyingenterprisesthatareleadersinthesector(includingcompetitors),
conductingasurveyofselectedenterprisestounderstandtheirpractices,
usingaRequestforInformation(RFI)togatherinformationabout
capabilities,
arrangingvisitstobestinclassorganizations,
determininggapsbetweencurrentandbestpractices,and
developingaprojectproposaltoimplementbestpractices.
.2 MarketAnalysis
MarketAnalysisrequiresthatbusinessanalysts:
identifycustomersandunderstandtheirpreferences,
identifyopportunitiesthatmayincreasevaluetostakeholders,
identifycompetitorsandinvestigatetheiroperations,
226
Techniques
Brainstorming
lookfortrendsinthemarket,anticipategrowthrate,andestimatepotential
profitability,
defineappropriatebusinessstrategies,
gathermarketdata,
useexistingresourcessuchascompanyrecords,researchstudies,and
booksandapplythatinformationtothequestionsathand,and
reviewdatatodeterminetrendsanddrawconclusions.
10.4.4
UsageConsiderations
.1 Strengths
Anorganizationmayusebenchmarkingtoidentifybestpracticesbyits
competitorsinordertomeetorexceeditscompetition.
Benchmarkingidentifieswhysimilarcompaniesaresuccessfulandwhat
processestheyusedtobecomesuccessful.
Marketanalysiscantargetspecificgroupsandcanbetailoredtoanswer
specificquestions.
Marketanalysismayexposeweaknesseswithinacertaincompanyorindustry.
Marketanalysismayidentifydifferencesinproductofferingsandservicesthat
areavailablefromacompetitor.
.2 Limitations
Benchmarkingistimeconsumingorganizationsmaynothavetheexpertiseto
conducttheanalysisandinterpretusefulinformation.
Benchmarkingcannotproduceinnovativesolutionsorsolutionsthatwill
produceasustainablecompetitiveadvantagebecauseitinvolvesassessing
solutionsthathavebeenshowntoworkelsewherewiththegoalof
reproducingthem.
Marketanalysiscanbetimeconsumingandexpensive,andtheresultsmaynot
beimmediatelyavailable.
Withoutmarketsegmentation,marketanalysismaynotproducetheexpected
resultsormayprovideincorrectdataaboutacompetitor'sproductsorservices.
10.5
10.5.1
Brainstorming
Purpose
Brainstormingisanexcellentwaytofostercreativethinkingaboutaproblem.The
aimofbrainstormingistoproducenumerousnewideas,andtoderivefromthem
themesforfurtheranalysis.
227
Benchmarkingprovidesorganizationswithinformationaboutnewand
differentmethods,ideas,andtoolstoimproveorganizationalperformance.
Brainstorming
10.5.2
Techniques
Description
Brainstormingisatechniqueintendedtoproduceabroadordiversesetof
options.
Ithelpsanswerspecificquestionssuchas(butnotlimitedto):
Whatoptionsareavailabletoresolvetheissueathand?
Whatfactorsareconstrainingthegroupfrommovingaheadwithan
approachoroption?
Whatcouldbecausingadelayinactivity'A'?
Whatcanthegroupdotosolveproblem'B'?
Brainstormingworksbyfocusingonatopicorproblemandthencomingupwith
manypossiblesolutionstoit.Thistechniqueisbestappliedinagroupasitdraws
ontheexperienceandcreativityofallmembersofthegroup.Intheabsenceofa
group,onecouldbrainstormonone'sowntosparknewideas.Toheighten
creativity,participantsareencouragedtousenewwaysoflookingatthingsand
freelyassociateinanydirection.Whenfacilitatedproperly,brainstormingcanbe
fun,engaging,andproductive.
Figure10.5.1:Brainstorming
1.Preparation
DefineArea
ofInterest
DetermineTime
Limit
Identify
Participants
Establish
EvaluationCriteria
RecordIdeas
Buildoneach
othersideas
Elicitasmany
ideasaspossible
RateIdeas
Distribute
FinalList
2.Session
ShareIdeas
3.Wrapup
Discuss
andEvaluate
CreateList
228
Techniques
10.5.3
Brainstorming
Elements
.1 Preparation
Developaclearandconcisedefinitionoftheareaofinterest.
Determineatimelimitforthegrouptogenerateideasthelargerthegroup,
themoretimerequired.
Identifythefacilitatorandparticipantsinthesession(aimforsixtoeight
participantswhorepresentarangeofbackgroundsandexperiencewiththe
topic).
Setexpectationswithparticipantsandgettheirbuyintotheprocess.
Establishthecriteriaforevaluatingandratingtheideas.
Sharenewideaswithoutanydiscussion,criticism,orevaluation.
Visiblyrecordallideas.
Encourageparticipantstobecreative,shareexaggeratedideas,andbuildon
theideasofothers.
Don'tlimitthenumberofideasasthegoalistoelicitasmanyaspossible
withinthetimeperiod.
.3 Wrapup
Oncethetimelimitisreached,discussandevaluatetheideasusingthe
predeterminedevaluationcriteria.
Createacondensedlistofideas,combineideaswhereappropriate,and
eliminateduplicates.
Ratetheideas,andthendistributethefinallistofideastotheappropriate
parties.
10.5.4
UsageConsiderations
.1 Strengths
Abilitytoelicitmanyideasinashorttimeperiod.
Nonjudgmentalenvironmentenablescreativethinking.
Canbeusefulduringaworkshoptoreducetensionbetweenparticipants.
.2 Limitations
Participationisdependentonindividualcreativityandwillingnesstoparticipate.
Organizationalandinterpersonalpoliticsmaylimitoverallparticipation.
Groupparticipantsmustagreetoavoiddebatingtheideasraisedduring
brainstorming.
229
.2 Session
BusinessCapabilityAnalysis
10.6
10.6.1
Techniques
Purpose
Businesscapabilityanalysisprovidesaframeworkforscopingandplanningby
generatingasharedunderstandingofoutcomes,identifyingalignmentwith
strategy,andprovidingascopeandprioritizationfilter.
10.6.2
Description
Businesscapabilityanalysisdescribeswhatanenterprise,orpartofanenterprise,
isabletodo.Businesscapabilitiesdescribetheabilityofanenterprisetoactonor
transformsomethingthathelpsachieveabusinessgoalorobjective.Capabilities
maybeassessedforperformanceandassociatedriskstoidentifyspecific
performancegapsandprioritizeinvestments.Manyproductdevelopmentefforts
areanattempttoimprovetheperformanceofanexistingbusinesscapabilityor
todeliveranewone.Aslongasanenterprisecontinuestoperformsimilar
functions,thecapabilitiesrequiredbytheenterpriseshouldremain
constantevenifthemethodofexecutionforthosecapabilitiesundergoes
significantchange.
10.6.3
Elements
.1 Capabilities
Capabilitiesaretheabilitiesofanenterprisetoperformortransformsomething
thathelpsachieveabusinessgoalorobjective.Capabilitiesdescribethepurpose
oroutcomeoftheperformanceortransformation,nothowtheperformanceor
transformationisperformed.Eachcapabilityisfoundonlyonceonacapability
map,evenifitispossessedbymultiplebusinessunits.
.2 UsingCapabilities
Capabilitiesimpactvaluethroughincreasingorprotectingrevenue,reducingor
preventingcost,improvingservice,achievingcompliance,orpositioningthe
companyforthefuture.Notallcapabilitieshavethesamelevelofvalue.Thereare
varioustoolsthatcanbeusedtomakevalueexplicitinacapabilityassessment.
.3 PerformanceExpectations
Capabilitiescanbeassessedtoidentifyexplicitperformanceexpectations.When
acapabilityistargetedforimprovement,aspecificperformancegapcanbe
identified.Theperformancegapisthedifferencebetweenthecurrent
performanceandthedesiredperformance,giventhebusinessstrategy.
.4 RiskModel
Capabilitiesalonedonothaveriskstherisksareintheperformanceofthe
capability,orinthelackofperformance.
230
Techniques
Theserisksfallintotheusualbusinesscategories:
businessrisk,
technologyrisk,
organizationalrisk,and
marketrisk.
.5 StrategicPlanning
.6 CapabilityMaps
Capabilitymapsprovideagraphicalviewofelementsinvolvedinbusiness
capabilityanalysis.Thefollowingexamplesdemonstrateoneelementofa
capabilitymapthatwouldbepartofalargercapabilitiesgrid.
Thereisnosetstandardforthenotationofcapabilitiesmaps.Thefollowing
imagesshowtwodifferentmethodsforcreatingacapabilitymap.Thefirsttwo
imagesarethefirstexampleandthethirdimageisthesecondexample.
Figure10.6.1:SampleCapabilityMapExample1Cell
ExplicitPerformanceGaps
Business
Value
Customer
Value
AnOutcome
Key
Risk
BusinessRisk
TechnologyRisk
OrganizationalRisk
HighValue
HighPerformanceGap
HighRisk
MediumValue
MediumPerformanceGap
MediumRisk
LowValue
LowPerformanceGap
LowRisk
231
Businesscapabilitiesforthecurrentstateandfuturestateofanenterprisecanbe
usedtodeterminewherethatenterpriseneedstogoinordertoaccomplishits
strategy.Abusinesscapabilityassessmentcanproduceasetofrecommendations
orproposalsforsolutions.Thisinformationformsthebasisofaproductroadmap
andservesasaguideforreleaseplanning.Atthestrategiclevel,capabilities
shouldsupportanenterpriseinestablishingandmaintainingasustainable
competitiveadvantageandadistinctvalueproposition.
Techniques
Figure10.6.2:SampleCapabilityMapExample1
BusinessValueAnalysisCentreofExcellence
Organizational
Analysis
Project
Analysis
Professional
Development
Management
Capability
Analysis
Requirements
Elicitation
Organizational
Analysis
Consulting
Performance
Management
RootCause
Analysis
Requirements
Management
Project
Analysis
Consulting
Resource
Allocations
Process
Analysis
Requirements
Communication
Training
Employee
Development
Planning
Stakeholder
Analysis
User
Acceptance
Testing
Mentoring
Roadmap
Construction
Usability
Testing
Templates&
Resources
Maintenance
Key
HighValue
HighPerformanceGap
HighRisk
MediumValue
MediumPerformanceGap
MediumRisk
LowValue
LowPerformanceGap
LowRisk
232
Techniques
Figure10.6.3:SampleCapabilityMapExample2
ORGANIZATIONAL
ANALYSIS
BusinessValue
High Med
Low
CustomerValue
High Med
Low
PerformanceGap
High Med
Low
Risk
High Med
Low
CapabilityAnalysis
RootCauseAnalysis
ProcessAnalysis
StakeholderAnalysis
RoadmapConstruction
PROJECTANALYSIS
BusinessValue
High Med
Low
CustomerValue
High Med
Low
PerformanceGap
High Med
Low
Risk
High Med
Low
RequirementsCommunication
UserAcceptanceTesting
UsabilityTesting
BusinessValue
PROFESSIONAL
DEVELOPMENT
High Med
Low
CustomerValue
High Med
Low
PerformanceGap
High Med
Low
Risk
High Med
Low
OrganizationalConsulting
ProjectAnalysisConsulting
Training
Mentoring
ResourcesMaintenance
BusinessValue
MANAGEMENT
High Med
Low
CustomerValue
High Med
Low
PerformanceGap
High Med
Low
Risk
High Med
Low
PerformanceManagement
ResourceAllocations
EmployeeDevPlanning
10.6.4
UsageConsiderations
.1 Strengths
Providesasharedarticulationofoutcomes,strategy,andperformance,which
helpcreateveryfocusedandalignedinitiatives.
Helpsalignbusinessinitiativesacrossmultipleaspectsoftheorganization.
Usefulwhenassessingtheabilityofanorganizationtooffernewproductsand
services.
.2 Limitations
Requiresanorganizationtoagreetocollaborateonthismodel.
233
RequirementsElicitation
BusinessCases
Techniques
Whencreatedunilaterallyorinavacuumitfailstodeliveronthegoalsof
alignmentandsharedunderstanding.
Requiresabroad,crossfunctionalcollaborationindefiningthecapability
modelandthevalueframework.
10.7
10.7.1
BusinessCases
Purpose
Abusinesscaseprovidesajustificationforacourseofactionbasedonthe
benefitstoberealizedbyusingtheproposedsolution,ascomparedtothecost,
effort,andotherconsiderationstoacquireandlivewiththatsolution.
10.7.2
Description
Abusinesscasecapturestherationaleforundertakingachange.Abusinesscase
isfrequentlypresentedinaformaldocument,butmayalsobepresentedthrough
informalmethods.Theamountoftimeandresourcesspentonthebusinesscase
shouldbeproportionaltothesizeandimportanceofitspotentialvalue.The
businesscaseprovidessufficientdetailtoinformandrequestapprovalwithout
providingspecificintricaciesaboutthemethodand/orapproachtothe
implementation.Itmayalsobethecatalystforoneormanyinitiativesinorderto
implementthechange.
Abusinesscaseisusedto:
definetheneed,
determinethedesiredoutcomes,
assessconstraints,assumptions,andrisks,and
recommendasolution.
10.7.3
Elements
.1 NeedAssessment
Theneedisthedriverforthebusinesscase.Itistherelevantbusinessgoalor
objectivethatmustbemet.Objectivesarelinkedtoastrategyorthestrategiesof
theenterprise.Theneedassessmentidentifiestheproblemorthepotential
opportunity.Throughoutthedevelopmentofthebusinesscase,different
alternativestosolvetheproblemortakeadvantageoftheopportunitywillbe
assessed.
.2 DesiredOutcomes
Thedesiredoutcomesdescribethestatewhichshouldresultiftheneedis
fulfilled.Theyshouldincludemeasurableoutcomesthatcanbeutilizedto
determinethesuccessofthebusinesscaseorthesolution.Desiredoutcomes
234
Techniques
BusinessCases
shouldberevisitedatdefinedmilestonesandatthecompletionoftheinitiative
(orinitiatives)tofulfillthebusinesscase.Theyshouldalsobeindependentofthe
recommendedsolution.Assolutionoptionsareassessed,theirabilitytoachieve
thedesiredoutcomeswillhelpdeterminetherecommendedsolution.
.3 AssessAlternatives
Thebusinesscaseidentifiesandassessesvariousalternativesolutions.
Alternativesmayinclude(butarenotlimitedto)differenttechnologies,processes,
orbusinessmodels.Alternativesmayalsoincludedifferentwaysofacquiring
theseanddifferenttimingoptions.Theywillbeaffectedbyconstraintssuchas
budget,timing,andregulatory.Thedonothingalternativeshouldbeassessed
andconsideredfortherecommendedsolution.
Eachalternativeshouldbeassessedintermsof:
Feasibility:Theorganizationalandtechnicalfeasibilityshouldbeassessed
foreachalternative.Itincludesorganizationalknowledge,skills,and
capacity,aswellastechnicalmaturityandexperienceintheproposed
technologies.
Assumptions,Risks,andConstraints:Assumptionsareagreedtofacts
thatmayhaveinfluenceontheinitiative.Constraintsarelimitationsthat
mayrestrictthepossiblealternatives.Risksarepotentialproblemsthatmay
haveanegativeimpactonthesolution.Agreeingtoanddocumenting
thesefactorsfacilitatesrealisticexpectationsandasharedunderstanding
amongststakeholders.
Formore
information,see
FinancialAnalysis
(p.274).
FinancialAnalysisandValueAssessment:Thefinancialanalysisand
valueassessmentincludesanestimateofthecoststoimplementand
operatethealternative,aswellasaquantifiedfinancialbenefitfrom
implementingthealternative.Benefitsofanonfinancialnature(suchas
improvedstaffmorale,increasedflexibilitytorespondtochange,improved
customersatisfaction,orreducedexposuretorisk)arealsoimportantand
addsignificantvaluetotheorganization.Valueestimatesarerelatedback
tostrategicgoalsandobjectives.
.4 RecommendedSolution
Therecommendedsolutiondescribesthemostdesirablewaytosolvethe
problemorleveragetheopportunity.Thesolutionisdescribedinsufficientdetail
fordecisionmakerstounderstandthesolutionanddetermineifthe
recommendationwillbeimplemented.Therecommendedsolutionmayalso
includesomeestimatesofcostanddurationtoimplementthesolution.
Measurablebenefits/outcomeswillbeidentifiedtoallowstakeholderstoassess
235
Scope:definesthealternativebeingproposed.Scopecanbedefinedusing
organizationalboundaries,systemboundaries,businessprocesses,product
linesorgeographicregions.Scopestatementsclearlydefinewhatwillbe
includedandwhatwillbeexcluded.Thescopeofvariousalternativesmay
besimilarorhaveoverlapbutmayalsodifferbasedonthealternative.
BusinessModelCanvas
Techniques
theperformanceandsuccessofthesolutionafterimplementationandduring
operation.
10.7.4
UsageConsiderations
.1 Strengths
Providesanamalgamationofthecomplexfacts,issues,andanalysisrequiredto
makedecisionsregardingchange.
Providesadetailedfinancialanalysisofcostandbenefits.
Providesguidanceforongoingdecisionmakingthroughouttheinitiative.
.2 Limitations
Maybesubjecttothebiasesofauthors.
Frequentlynotupdatedoncefundingfortheinitiativeissecured.
Containsassumptionsregardingcostsandbenefitsthatmayproveinvalidupon
furtherinvestigation.
10.8
10.8.1
BusinessModelCanvas
Purpose
Abusinessmodelcanvasdescribeshowanenterprisecreates,delivers,and
capturesvalueforandfromitscustomers.
10.8.2
Description
Abusinessmodelcanvasiscomprisedofninebuildingblocksthatdescribehow
anorganizationintendstodelivervalue:
KeyPartnerships,
Channels,
KeyActivities,
CustomerSegments,
KeyResources,
CostStructure,and
ValueProposition,
RevenueStreams.
CustomerRelationships,
Thesebuildingblocksarearrangedonabusinesscanvasthatshowsthe
relationshipbetweentheorganization'soperations,finance,customers,and
offerings.Thebusinessmodelcanvasalsoservesasablueprintforimplementing
astrategy.
236
Techniques
BusinessModelCanvas
Figure10.8.1:BusinessModelCanvas
Key
Partnerships
Key
Activities
Value
Proposition
KeyResources
CostStructure
Customer
Relationships
Customer
Segments
Channels
RevenueStreams
Abusinessmodelcanvasallowsforthemappingofprograms,projects,andother
initiatives(suchasrecruitmentortalentretention)tothestrategyofthe
enterprise.Inthiscapacity,thecanvascanbeusedtoviewwheretheenterpriseis
investing,whereaparticularinitiativefits,andanyrelatedinitiatives.
Abusinessmodelcanvascanalsobeusedtodemonstratewheretheeffortsof
variousdepartmentsandworkgroupsfitandaligntotheoverallstrategyofthe
enterprise.
.1 Elements
KeyPartnerships
Keypartnershipsfrequentlyinvolvesomedegreeofsharingofproprietary
information,includingtechnologies.Aneffectivekeypartnershipcan,insome
cases,leadtomoreformalizedrelationshipssuchasmergersandacquisitions.
Thebenefitsinengaginginkeypartnershipsinclude:
optimizationandeconomy,
reductionofriskanduncertainty,
acquisitionofparticularresourcesandactivities,and
lackofinternalcapabilities.
237
Abusinessmodelcanvascanbeusedasadiagnosticandplanningtoolregarding
strategyandinitiatives.Asadiagnostictool,thevariouselementsofthecanvas
areusedasalensintothecurrentstateofthebusiness,especiallywithregardsto
therelativeamountsofenergy,time,andresourcestheorganizationiscurrently
investinginvariousareas.Asaplanningandmonitoringtool,thecanvascanbe
usedasaguidelineandframeworkforunderstandinginterdependenciesand
prioritiesamonggroupsandinitiatives.
BusinessModelCanvas
Techniques
KeyActivities
Keyactivitiesarethosethatarecriticaltothecreation,delivery,andmaintenance
ofvalue,aswellasotheractivitiesthatsupporttheoperationoftheenterprise.
Keyactivitiescanbeclassifiedas:
Valueadd:characteristics,features,andbusinessactivitiesforwhichthe
customeriswillingtopay.
Nonvalueadd:aspectsandactivitiesforwhichthecustomerisnotwilling
topay.
Businessnonvalueadd:characteristicsthatmustbeincludedinthe
offering,activitiesperformedtomeetregulatoryandotherneeds,orcosts
associatedwithdoingbusiness,forwhichthecustomerisnotwillingtopay.
KeyResources
Resourcesaretheassetsneededtoexecuteabusinessmodel.Resourcesmaybe
differentbasedonthebusinessmodel.
Resourcescanbeclassifiedas:
Physical:applications,locations,andmachines.
Financial:whatisneededtofundabusinessmodel,suchascashandlines
ofcredit.
Intellectual:anyproprietaryaspectsthatenableabusinessmodeltothrive,
suchasknowledge,patentsandcopyrights,customerdatabases,and
branding.
Human:thepeopleneededtoexecuteaparticularbusinessmodel.
ValueProposition
Avaluepropositionrepresentswhatacustomeriswillingtoexchangeforhaving
theirneedsmet.Thepropositionmayconsistofasingleproductorservice,or
maybecomprisedofasetofgoodsandservicesthatarebundledtogetherto
addresstheneedsofacustomerorcustomersegmenttohelpthemsolvetheir
problem.
CustomerRelationships
Ingeneral,customerrelationshipsareclassifiedascustomeracquisitionand
customerretention.Themethodsusedinestablishingandmaintainingcustomer
relationshipsvarydependingonthelevelofinteractiondesiredandthemethod
ofcommunication.Forexample,somerelationshipscanbehighlypersonalized,
whileothersareautomatedandpromoteaselfserveapproach.Therelationships
canalsobeformalorinformal.
Organizationsinteractwiththeircustomersindifferentwaysdependingonthe
relationshiptheywanttoestablishandmaintain.
238
Techniques
BusinessModelCanvas
Channels
Channelsarethedifferentwaysanenterpriseinteractswithanddeliversvalueto
itscustomers.Somechannelsareverycommunicationoriented(forexample,
marketingchannel),andsomearedeliveryoriented(forexample,distribution
channel).Otherexamplesincludesaleschannelsandpartneringchannels.
Enterprisesusechannelsto:
raiseawarenessabouttheirofferings,
helpcustomersevaluatethevalueproposition,
allowcustomerstopurchaseagoodorservice,
helptheenterprisedeliveronthevalueproposition,and
Understandingchannelsinvolvesidentifyingtheprocesses,procedures,
technologies,inputs,andoutputs(andtheircurrentimpact),aswellas
understandingtherelationshipofthevariouschannelstothestrategiesofthe
organization.
CustomerSegments
Customersegmentsgroupcustomerswithcommonneedsandattributessothat
theenterprisecanmoreeffectivelyandefficientlyaddresstheneedsofeach
segment.
Anorganizationwithinanenterprisemayconsiderdefiningandtargetingdistinct
customersegmentsbasedon:
differentneedsforeachsegment,
varyingprofitabilitybetweensegments,
differentdistributionchannels,and
formationandmaintenanceofcustomerrelationships.
CostStructure
Everyentity,product,oractivitywithinanenterprisehasanassociatedcost.
Enterprisesseektoreduce,minimize,oreliminatecostswhereverpossible.
Reducingcostsmayincreasetheprofitabilityofanorganizationandallowthose
fundstobeusedinotherwaystocreatevaluefortheorganizationandfor
customers.Therefore,itisimportanttounderstandthetypeofbusinessmodels,
thedifferencesinthetypesofcostsandtheirimpact,andwheretheenterpriseis
focusingitseffortstoreducecosts.
RevenueStreams
Arevenuestreamisawayormethodbywhichrevenuecomesintoanenterprise
fromeachcustomersegmentinexchangefortherealizationofavalue
proposition.Therearetwobasicwaysrevenueisgeneratedforanenterprise:
239
providesupport.
BusinessRulesAnalysis
Techniques
revenueresultingfromaonetimepurchaseofagoodorserviceandrecurring
revenuefromperiodicpaymentsforagood,service,orongoingsupport.
Sometypesofrevenuestreamsinclude:
LicensingorSubscriptionfees:thecustomerpaysfortherighttoaccess
aparticularasset,eitherasaonetimefeeorasarecurringcost.
TransactionorUsagefees:thecustomerpayseachtimetheyuseagood
orservice.
Sales:thecustomerisgrantedownershiprightstoaspecificproduct.
Lending,Renting,orLeasing:thecustomerhastemporaryrightstouse
anasset.
.2 UsageConsiderations
Strengths
Itisawidelyusedandeffectiveframeworkthatcanbeusedtounderstandand
optimizebusinessmodels.
Itissimpletouseandeasytounderstand.
Limitations
Doesnotaccountforalternativemeasuresofvaluesuchassocialand
environmentalimpacts.
Theprimaryfocusonvaluepropositionsdoesnotprovideaholisticinsightfor
businessstrategy.
Doesnotincludethestrategicpurposeoftheenterprisewithinthecanvas.
10.9
10.9.1
Purpose
Businessrulesanalysisisusedtoidentify,express,validate,refine,andorganize
therulesthatshapedaytodaybusinessbehaviourandguideoperational
businessdecisionmaking.
10.9.2
Description
Businesspoliciesandrulesguidethedaytodayoperationofthebusinessandits
processes,andshapeoperationalbusinessdecisions.Abusinesspolicyisa
directiveconcernedwithbroadlycontrolling,influencing,orregulatingthe
actionsofanenterpriseandthepeopleinit.Abusinessruleisaspecific,testable
directivethatservesasacriterionforguidingbehaviour,shapingjudgments,or
makingdecisions.Abusinessrulemustbepracticable(needingnofurther
240
Techniques
interpretationforusebypeopleinthebusiness)andisalwaysunderthecontrol
ofthebusiness.
Analysisofbusinessrulesinvolvescapturingbusinessrulesfromsources,
expressingthemclearly,validatingthemwithstakeholders,refiningthemtobest
alignwithbusinessgoals,andorganizingthemsotheycanbeeffectively
managedandreused.Sourcesofbusinessrulesmaybeexplicit(forexample,
documentedbusinesspolicies,regulations,orcontracts)ortacit(forexample,
undocumentedstakeholderknowhow,generallyacceptedbusinesspractices,or
normsofthecorporateculture).Businessrulesshouldbeexplicit,specific,clear,
accessible,andsinglesourced.Basicprinciplesforbusinessrulesinclude:
basingthemonstandardbusinessvocabularytoenabledomainsubject
matterexpertstovalidatethem,
definingthemattheatomiclevelandindeclarativeformat,
separatingthemfromprocessestheysupportorconstrain,
mappingthemtodecisionstherulesupportsorconstrains,and
maintainingtheminamannersuchthattheycanbemonitoredand
adaptedasbusinesscircumstancesevolveovertime.
Asetofrulesformakinganoperationalbusinessdecisionmaybeexpressedasa
decisiontableordecisiontree,asdescribedinDecisionAnalysis(p.261).The
numberofrulesinsuchasetcanbequitelarge,withahighlevelofcomplexity.
10.9.3
Elements
Businessrulesrequireconsistentuseofbusinessterms,aglossaryofdefinitions
fortheunderlyingbusinessconcepts,andanunderstandingofthestructural
connectionsamongtheconcepts.Reuseofexistingterminologyfromexternal
industryassociationsorinternalbusinessglossariesisoftenadvised.Sometimes
definitionsandstructuresfromdatadictionariesordatamodelscanbehelpful
(seeDataDictionary(p.247)andDataModelling(p.256)).Businessrulesshould
beexpressedandmanagedindependentlyofanyimplementationtechnology
sincetheyneedtobeavailableforreferencebybusinesspeople.Inaddition,they
sometimeswillbeimplementedinmultipleplatformsorsoftwarecomponents.
Therearefrequentlyexceptionstobusinessrulestheseshouldbetreatedsimply
asadditionalbusinessrules.Existingbusinessrulesshouldbechallengedto
ensuretheyalignwithbusinessgoalsandremainrelevant,especiallywhennew
solutionsemerge.
.1 DefinitionalRules
Definitionalrulesshapeconcepts,orproduceknowledgeorinformation.They
indicatesomethingthatisnecessarilytrue(oruntrue)aboutsomeconcept,
therebysupplementingitsdefinition.Incontrasttobehaviouralrules,whichare
aboutthebehaviourofpeople,definitionalrulesrepresentoperational
knowledgeoftheorganization.Definitionalrulescannotbeviolatedbuttheycan
241
expressingthemseparatelyfromhowtheywillbeenforced,
Techniques
bemisapplied.Anexampleofadefinitionalruleis:
AcustomermustbeconsideredaPreferredCustomeriftheyplacemore
than10orderspermonth.
Definitionalrulesoftenprescribehowinformationmaybederived,inferredor
calculatedbasedoninformationavailabletothebusiness.Aninferenceor
calculationmaybetheresultofmultiplerules,eachbuildingonsomething
inferredorcalculatedbysomeother(s).Setsofdefinitionalrulesareoftenusedto
makeoperationalbusinessdecisionsduringsomeprocessoruponsomeevent.
Anexampleofacalculationruleis:
Anorder'slocaljurisdictiontaxamountmustbecalculatedas(sumofthe
pricesofalltheorder'staxableordereditems)localjurisdictiontaxrate
amount.
.2 BehaviouralRules
Behaviouralrulesarepeoplerulesevenifthebehaviourisautomated.
Behaviouralrulesservetoshape(govern)daytodaybusinessactivity.Theydoso
byplacingsomeobligationorprohibitiononconduct,action,practice,or
procedure.
Behaviouralrulesarerulestheorganizationchoosestoenforceasamatterof
policy,oftentoreduceriskorenhanceproductivity.Theyfrequentlymakeuseof
theinformationorknowledgeproducedbydefinitionalrules(whichareabout
shapingknowledgeorinformation).Behaviouralrulesareintendedtoguidethe
actionsofpeopleworkingwithintheorganization,orpeoplewhointeractwithit.
Theymayobligeindividualstoperformactionsinacertainway,preventthem
fromcarryingoutactions,orprescribetheconditionsunderwhichsomethingcan
becorrectlydone.Anexampleofabehaviouralruleis:
Anordermustnotbeplacedwhenthebillingaddressprovidedbythe
customerdoesnotmatchtheaddressonfilewiththecreditcardprovider.
Incontrasttodefinitionalrules,behaviouralrulesarerulesthatcanbeviolated
directly.Bydefinition,itisalwayspossibletoviolateabehaviouralruleevenif
therearenocircumstancesunderwhichtheorganizationwouldapprovethat,
anddespitethefactthattheorganizationtakesextraordinaryprecautionsinits
solutiontopreventit.Becauseofthis,furtheranalysisshouldbeconductedto
determinehowstrictlytheruleneedstobeenforced,whatkindsofsanctions
shouldbeimposedwhenitisviolated,andwhatadditionalresponsestoa
violationmightbeappropriate.Suchanalysisoftenleadstospecificationof
additionalrules.
Variouslevelsofenforcementmaybespecifiedforabehaviouralrule.For
example:
Allownoviolations(strictlyenforced).
Overridebyauthorizedactor.
Overridewithexplanation.
242
Techniques
CollaborativeGames
Noactiveenforcement.
Abehaviouralruleforwhichthereisnoactiveenforcementissimplyaguideline
thatsuggestspreferredoroptimalbusinessbehaviour.
10.9.4
UsageConsiderations
.1 Strengths
Whenenforcedandmanagedbyasingleenterprisewideengine,changesto
businessrulescanbeimplementedquickly.
Acentralizedrepositorycreatestheabilitytoreusebusinessrulesacrossan
organization.
Businessrulesprovidestructuretogovernbusinessbehaviours.
.2 Limitations
Organizationsmayproducelengthylistsofambiguousbusinessrules.
Businessrulescancontradictoneanotherorproduceunanticipatedresults
whencombinedunlessvalidatedagainstoneanother.
Ifavailablevocabularyisinsufficientlyrich,notbusinessfriendly,orpoorly
definedandorganized,resultingbusinessruleswillbeinaccurateor
contradictory.
10.10
10.10.1
CollaborativeGames
Purpose
Collaborativegamesencourageparticipantsinanelicitationactivitytocollaborate
inbuildingajointunderstandingofaproblemorasolution.
10.10.2
Description
Collaborativegamesrefertoseveralstructuredtechniquesinspiredbygameplay
andaredesignedtofacilitatecollaboration.Eachgameincludesrulestokeep
participantsfocusedonaspecificobjective.Thegamesareusedtohelpthe
participantssharetheirknowledgeandexperienceonagiventopic,identify
hiddenassumptions,andexplorethatknowledgeinwaysthatmaynotoccur
duringthecourseofnormalinteractions.Thesharedexperienceofthe
collaborativegameencouragespeoplewithdifferentperspectivesonatopicto
worktogetherinordertobetterunderstandanissueanddevelopasharedmodel
243
Clearlydefiningandmanagingbusinessrulesallowsorganizationstomake
changestopolicywithoutalteringprocessesorsystems.
CollaborativeGames
Techniques
oftheproblemorofpotentialsolutions.Manycollaborativegamescanbeused
tounderstandtheperspectivesofvariousstakeholdergroups.
Collaborativegamesoftenbenefitfromtheinvolvementofaneutralfacilitator
whohelpstheparticipantsunderstandtherulesofthegameandenforcesthose
rules.Thefacilitator'sjobistokeepthegamemovingforwardandtohelpensure
thatallparticipantsplayarole.Collaborativegamesusuallyinvolveastrongvisual
ortactileelement.Activitiessuchasmovingstickynotes,scribblingon
whiteboards,ordrawingpictureshelppeopletoovercomeinhibitions,foster
creativethinking,andthinklaterally.
10.10.3
Elements
.1 GamePurpose
Eachdifferentcollaborativegamehasadefinedpurposeusuallytodevelopa
betterunderstandingofaproblemortostimulatecreativesolutionsthatis
specifictothattypeofgame.Thefacilitatorhelpstheparticipantsinthegame
understandthepurposeandworktowardthesuccessfulrealizationofthat
purpose.
.2 Process
Eachtypeofcollaborativegamehasaprocessorsetofrulesthat,whenfollowed,
keepsthegamemovingtowarditsgoal.Eachstepinthegameisoftenlimitedby
time.
Gamestypicallyhaveatleastthreesteps:
Step1.
anopeningstep,inwhichtheparticipantsgetinvolved,learnthe
rulesofthegame,andstartgeneratingideas,
Step2.
theexplorationstep,inwhichparticipantsengagewithone
anotherandlookforconnectionsbetweentheirideas,testthose
ideas,andexperimentwithnewideas,and
Step3.
aclosingstep,inwhichtheideasareassessedandparticipants
workoutwhichideasarelikelytobethemostusefuland
productive.
.3 Outcome
Attheendofacollaborativegame,thefacilitatorandparticipantsworkthrough
theresultsanddetermineanydecisionsoractionsthatneedtobetakenasa
resultofwhattheparticipantshavelearned.
.4 ExamplesofCollaborativeGames
Therearemanytypesofcollaborativegamesavailable,including(butnotlimited
to)thefollowing:
244
Techniques
ConceptModelling
Table10.10.1:ExamplesofCollaborativeGames
Description
Objective
Product
Box
Participantsconstructaboxforthe
productasifitwasbeingsoldinaretail
store.
Usedtohelpidentify
featuresofaproduct
thathelpdriveinterest
inthemarketplace.
Affinity
Map
Participantswritedownfeatureson
stickynotes,putthemonawall,and
thenmovethemclosertootherfeatures
thatappearsimilarinsomeway.
Usedtohelpidentify
relatedorsimilar
featuresorthemes.
Fishbowl
Participantsaredividedintotwogroups.
Onegroupofparticipantsspeaksabout
atopic,whiletheothergrouplistens
intentlyanddocumentstheir
observations.
Usedtoidentifyhidden
assumptionsor
perspectives.
UsageConsiderations
.1 Strengths
Mayrevealhiddenassumptionsordifferencesofopinion.
Encouragescreativethinkingbystimulatingalternativementalprocesses.
Challengesparticipantswhoarenormallyquietorreservedtotakeamore
activeroleinteamactivities.
Somecollaborativegamescanbeusefulinexposingbusinessneedsthataren't
beingmet.
.2 Limitations
Theplayfulnatureofthegamesmaybeperceivedassillyandmakeparticipants
withreservedpersonalitiesorculturalnormsuncomfortable.
Gamescanbetimeconsumingandmaybeperceivedasunproductive,
especiallyiftheobjectivesoroutcomesareunclear.
Groupparticipationcanleadtoafalsesenseofconfidenceintheconclusions
reached.
10.11
10.11.1
ConceptModelling
Purpose
Aconceptmodelisusedtoorganizethebusinessvocabularyneededto
consistentlyandthoroughlycommunicatetheknowledgeofadomain.
245
10.10.4
Game
ConceptModelling
10.11.2
Techniques
Description
Aconceptmodelstartswithaglossary,whichtypicallyfocusesonthecorenoun
conceptsofadomain.Conceptmodelsputapremiumonhighquality,design
independentdefinitionsthatarefreeofdataorimplementationbiases.Concept
modelsalsoemphasizerichvocabulary.
Aconceptmodelidentifiesthecorrectchoiceoftermstouseincommunications,
includingallbusinessanalysisinformation.Itisespeciallyimportantwherehigh
precisionandsubtledistinctionsneedtobemade.
Conceptmodelscanbeeffectivewhere:
theenterpriseseekstoorganize,retain,buildon,manage,and
communicatecoreknowledge,
theinitiativeneedstocapturelargenumbersofbusinessrules,
thereisresistancefromstakeholdersabouttheperceivedtechnicalnature
ofdatamodels,classdiagrams,ordataelementnomenclatureand
definition,
innovativesolutionsaresoughtwhenreengineeringbusinessprocessesor
otheraspectsofbusinesscapability,and
theenterprisefacesregulatoryorcompliancechallenges.
Aconceptmodeldiffersfromadatamodel.Thegoalofaconceptmodelisto
supporttheexpressionofnaturallanguagestatements,andsupplytheir
semantics.Conceptmodelsarenotintendedtounify,codify,andsimplifydata.
Thereforethevocabularyincludedinaconceptmodelisfarricher,assuits
knowledgeintensivedomains.Conceptmodelsareoftenrenderedgraphically.
10.11.3
Elements
.1 NounConcepts
Themostbasicconceptsinaconceptmodelarethenounconceptsofthe
domain,whicharesimplygivensforthespace.
.2 VerbConcepts
Verbconceptsprovidebasicstructuralconnectionsbetweennounconcepts.
Theseverbconceptsaregivenstandardwordings,sotheycanbereferenced
unambiguously.Thesewordingsbythemselvesarenotnecessarilysentences
rather,theyarethebuildingblocksofsentences(suchasbusinessrule
statements).Sometimesverbconceptsarederived,inferred,orcomputedby
definitionalrules.Thisishownewknowledgeorinformationisbuiltupfrom
morebasicfacts.
.3 OtherConnections
Sinceconceptmodelsmustsupportrichmeaning(semantics),othertypesof
standardconnectionsareusedbesidesverbconcepts.
246
Techniques
DataDictionary
Theseincludebutarenotlimitedto:
categorizations,
classifications,
partitive(wholepart)connections,and
roles.
10.11.4
UsageConsiderations
.1 Strengths
Provideabusinessfriendlywaytocommunicatewithstakeholdersabout
precisemeaningsandsubtledistinctions.
Proveshighlyusefulforwhitecollar,knowledgerich,decisionladenbusiness
processes.
Helpsensurethatlargenumbersofbusinessrulesandcomplexdecisiontables
arefreeofambiguityandfittogethercohesively.
.2 Limitations
Maysetexpectationstoohighabouthowmuchintegrationbasedonbusiness
semanticscanbeachievedonrelativelyshortnotice.
Requiresaspecializedskillsetbasedontheabilitytothinkabstractlyandnon
procedurallyaboutknowhowandknowledge.
Theknowledgeandrulefocusmaybeforeigntostakeholders.
Requirestoolingtoactivelysupportrealtimeuseofstandardbusiness
terminologyinwritingbusinessrules,requirements,andotherformsof
businesscommunication.
10.12
10.12.1
DataDictionary
Purpose
Adatadictionaryisusedtostandardizeadefinitionofadataelementandenable
acommoninterpretationofdataelements.
10.12.2
Description
Adatadictionaryisusedtodocumentstandarddefinitionsofdataelements,their
meanings,andallowablevalues.Adatadictionarycontainsdefinitionsofeach
dataelementandindicateshowthoseelementscombineintocompositedata
elements.Datadictionariesareusedtostandardizeusageandmeaningsofdata
elementsbetweensolutionsandbetweenstakeholders.
247
Isindependentofdatadesignbiasesandtheoftenlimitedbusinessvocabulary
coverageofdatamodels.
DataDictionary
Techniques
Datadictionariesaresometimesreferredtoasmetadatarepositoriesandareused
tomanagethedatawithinthecontextofasolution.Asorganizationsadoptdata
miningandmoreadvancedanalytics,adatadictionarymayprovidethemetadata
requiredbythesemorecomplexscenarios.Adatadictionaryisoftenusedin
conjunctionwithanentityrelationshipdiagram(seeDataModelling(p.256))and
maybeextractedfromadatamodel.
Datadictionariescanbemaintainedmanually(asaspreadsheet)orviaautomated
tools.
Figure10.12.1:ExampleofaDataDictionary
PrimitiveData
Elements
Name
Namereferenced
bydataelements
Alias
Alternatename
referencedby
stakeholders
Values/Meanings
Enumeratedlist
ordescriptionof
dataelement
Description
Definition
Composite
10.12.3
DataElement
1
DataElement
2
DataElement
3
FirstName
MiddleName
LastName
GivenName
MiddleName
Surname
Minimum2
characters
Canbeomitted
Minimum2
characters
FirstName
MiddleName
FamilyName
CustomerName= FirstName+MiddleName+FamilyName
Elements
.1 DataElements
Datadictionariesdescribedataelementcharacteristicsincludingthedescriptionof
thedataelementintheformofadefinitionthatwillbeusedbystakeholders.Data
dictionariesincludestandarddefinitionsofdataelements,theirmeanings,and
allowablevalues.Adatadictionarycontainsdefinitionsofeachprimitivedata
elementandindicateshowthoseelementscombineintocompositedataelements.
.2 PrimitiveDataElements
Thefollowinginformationmustberecordedabouteachdataelementinthedata
248
Techniques
DataDictionary
dictionary:
Name:auniquenameforthedataelement,whichwillbereferencedby
thecompositedataelements.
Aliases:alternatenamesforthedataelementusedbyvarious
stakeholders.
Values/Meanings:alistofacceptablevaluesforthedataelement.This
maybeexpressedasanenumeratedlistorasadescriptionofallowed
formatsforthedata(includinginformationsuchasthenumberof
characters).Ifthevaluesareabbreviatedthiswillincludeanexplanationof
themeaning.
Description:thedefinitionofthedataelementinthecontextofthe
solution.
Compositedataelementsarebuiltusingdataelementstobuildcomposite
structures,whichmayinclude:
Sequences:requiredorderingofprimitivedataelementswithinthe
compositestructure.Forexample,aplussignindicatesthatoneelementis
followedbyorconcatenatedwithanotherelement:CustomerName=First
Name+MiddleName+FamilyName.
Repetitions:whetheroneormoredataelementsmayberepeated
multipletimes.
OptionalElements:mayormaynotoccurinaparticularinstanceofthe
compositeelement.
10.12.4
UsageConsiderations
.1 Strengths
Providesallstakeholderswithasharedunderstandingoftheformatand
contentofrelevantinformation.
Asinglerepositoryofcorporatemetadatapromotestheuseofdatathroughout
theorganizationinaconsistentmanner.
.2 Limitations
Requiresregularmaintenance,otherwisethemetadatacouldbecomeobsolete
orincorrect.
Allmaintenanceisrequiredtobecompletedinaconsistentmannerinorderto
ensurethatstakeholderscanquicklyandeasilyretrievetheinformationthey
need.Thisrequirestimeandeffortonthepartofthestewardsresponsiblefor
theaccuracyandcompletenessofthedatadictionary.
Unlesscareistakentoconsiderthemetadatarequiredbymultiplescenarios,it
mayhavelimitedvalueacrosstheenterprise.
249
.3 CompositeElements
DataFlowDiagrams
10.13
10.13.1
Techniques
DataFlowDiagrams
Purpose
Dataflowdiagramsshowwheredatacomesfrom,whichactivitiesprocessthe
data,andiftheoutputresultsarestoredorutilizedbyanotheractivityorexternal
entity.
10.13.2
Description
Dataflowdiagramsportraythetransformationofdata.Theyareusefulfor
depictingatransactionbasedsystemandillustratingtheboundariesofaphysical,
logical,ormanualsystem.
Adataflowdiagramillustratesthemovementandtransformationofdata
betweenexternals(entities)andprocesses.Theoutputfromoneexternalor
processistheinputtoanother.Thedataflowdiagramalsoillustratesthe
temporaryorpermanentrepositories(referredtoasdatastoresorterminators)
wheredataisstoredwithinasystemoranorganization.Thedatadefinedshould
bedescribedinadatadictionary(seeDataDictionary(p.247)).
Dataflowdiagramscanconsistofmultiplelayersofabstraction.Thehighestlevel
diagramisacontextdiagramwhichrepresentstheentiresystem.Context
diagramsshowthesysteminitsentirety,asatransformationenginewith
externalsasthesourceorconsumerofdata.
Figure10.13.1:ContextDiagramGaneSarsonNotation
External
Agent
Noun
InputData
InputData
External
Agent
Noun
OutputData
OutputData
DataProcess
Verb/Noun
PhraseNaming
OutputData
OutputData
External
Agent
Noun
InputData
InputData
External
Agent
Noun
Thenextlevelofdataflowdiagramsisthelevel1diagram.Level1diagrams
illustratetheprocessesrelatedtothesystemwiththerespectiveinputdata,
outputtransformeddata,anddatastores.
250
Techniques
DataFlowDiagrams
Figure10.13.2:Level1DiagramYourdonNotation
External
Agent
Noun
InputData
Noun
OutputData
Noun
Data
Process
Noun
Verb/Noun
Data
Process
Verb/Noun
Data
Process
Verb/Noun
Transformed
OutputData
External
Agent
Noun
DataStore
InputData
Noun
External
Agent
Noun
Furtherlevelsofthedataflowdiagram(level2,level3andsoforth)breakdown
themajorprocessesfromthelevel1diagram.Level1diagramsareusefultoshow
theinternalpartitioningoftheworkandthedatathatflowsbetweenthe
partitions,aswellasthestoreddatausedbyeachofthepartitions.Eachofthe
partitionscanbefurtherdecomposedifneeded.Theexternalsremainthesame
andadditionalflowsandstoresaredefined.
Logicaldataflowdiagramsrepresentthefutureoressentialstatethatis,what
transformationsneedtooccurregardlessofthecurrentphysicallimitations.
Physicaldataflowdiagramsmodelallofthedatastores,printers,forms,devices,
andothermanifestationsofdata.Thephysicaldiagramcanshoweitherthe
currentstateorhowitwillbeimplemented.
10.13.3
Elements
.1 Externals(Entity,Source,Sink)
Anexternal(entity,source,sink)isaperson,organization,automatedsystem,orany
devicecapableofproducingdataorreceivingdata.Anexternalisanobjectwhichis
outsideofthesystemunderanalysis.Externalsarethesourcesand/ordestinations
(sinks)ofthedata.Eachexternalmusthaveatleastonedataflowgoingtoor
comingfromit.Externalsarerepresentedbyusinganouninsidearectangleandare
foundwithincontextleveldiagramsaswellaslowerlevelsofabstraction.
251
InputData
Noun
External
Agent
Noun
DataFlowDiagrams
Techniques
.2 DataStore
Adatastoreisacollectionofdatawheredatamaybereadrepeatedlyandwhere
itcanbestoredforfutureuse.Inessence,itisdataatrest.Eachdatastoremust
haveatleastonedataflowgoingtoorcomingfromit.Adatastoreis
representedaseithertwoparallellinesorasanopenendedrectanglewitha
label.
.3 Process
Aprocesscanbeamanualorautomatedactivityperformedforabusiness
reason.Aprocesstransformsthedataintoanoutput.Namingstandardsfora
processshouldcontainaverbandanoun.Eachprocessmusthaveatleastone
dataflowgoingtoitandonedataflowcomingfromit.Adataprocessis
representedasacircleorrectanglewithroundedcorners.
.4 DataFlow
Themovementofdatabetweenanexternal,aprocess,andadatastoreis
representedbydataflows.Thedataflowsholdprocessestogether.Everydata
flowwillconnecttoorfromaprocess(transformationofthedata).Dataflows
showtheinputsandoutputsofeachprocess.Everyprocesstransformsaninput
intoanoutput.Dataflowsarerepresentedasalinewithanarrowdisplayed
betweenprocesses.Thedataflowisnamedusinganoun.
Figure10.13.3:DataFlowDiagramGaneSarsonNotation
InputDatafrom
parentdiagram
(SystemInput1)
Process1
Process2
Verb/Noun
PhraseNaming
Verb/Noun
PhraseNaming
OutputDatafrom
parentdiagram
(SystemOutput1)
InputData
OutputData
DataStore
Figure10.13.4:DataFlowDiagramYourdonNotation
External
Agent
Input
Data
DataProcess
252
Outp ut
Data
DataStore
Techniques
10.13.4
DataMining
UsageConsiderations
.1 Strengths
MaybeusedasadiscoverytechniqueforprocessesanddataorasaTechnique
fortheverificationoffunctionaldecompositionsordatamodels.
Areexcellentwaystodefinethescopeofasystemandallofthesystems,
interfaces,anduserinterfacesthatattachtoit.Allowsforestimationofthe
effortneededtostudythework.
Mostusersfindthesedataflowdiagramsrelativelyeasytounderstand.
Helpstoidentifyduplicateddataelementsormisapplieddataelements.
Illustratesconnectionstoothersystems.
Canbeusedaspartofsystemdocumentation.
Helpstoexplainthelogicbehindthedataflowwithinasystem.
.2 Limitations
Usingdataflowdiagramsforlargescalesystemscanbecomecomplexand
difficultforstakeholderstounderstand.
Differentmethodsofnotationwithdifferentsymbolscouldcreatechallenges
pertainingtodocumentation.
Doesnotillustrateasequenceofactivities.
Datatransformations(processes)saylittleabouttheprocessorstakeholder.
10.14
10.14.1
DataMining
Purpose
Dataminingisusedtoimprovedecisionmakingbyfindingusefulpatternsand
insightsfromdata.
10.14.2
Description
Dataminingisananalyticprocessthatexamineslargeamountsofdatafrom
differentperspectivesandsummarizesthedatainsuchawaythatusefulpatterns
andrelationshipsarediscovered.
Theresultsofdataminingtechniquesaregenerallymathematicalmodelsor
equationsthatdescribeunderlyingpatternsandrelationships.Thesemodelscan
bedeployedforhumandecisionmakingthroughvisualdashboardsandreports,
orforautomateddecisionmakingsystemsthroughbusinessrulemanagement
systemsorindatabasedeployments.
253
Helpsdefinetheboundariesofasystem.
DataMining
Techniques
Dataminingcanbeutilizedineithersupervisedorunsupervisedinvestigations.In
asupervisedinvestigation,userscanposeaquestionandexpectananswerthat
candrivetheirdecisionmaking.Anunsupervisedinvestigationisapurepattern
discoveryexercisewherepatternsareallowedtoemerge,andthenconsideredfor
applicabilitytobusinessdecisions.
Dataminingisageneraltermthatcoversdescriptive,diagnostic,andpredictive
techniques:
Descriptive:suchasclusteringmakeiteasiertoseethepatternsinasetof
data,suchassimilaritiesbetweencustomers.
Diagnostic:suchasdecisiontreesorsegmentationcanshowwhya
patternexists,suchasthecharacteristicsofanorganization'smost
profitablecustomers.
Predictive:suchasregressionorneuralnetworkscanshowhowlikely
somethingistobetrueinthefuture,suchaspredictingtheprobabilitythat
aparticularclaimisfraudulent.
Inallcasesitisimportanttoconsiderthegoalofthedataminingexerciseandto
bepreparedforconsiderableeffortinsecuringtherighttype,volume,andquality
ofdatawithwhichtowork.
10.14.3
Elements
.1 RequirementsElicitation
Thegoalandscopeofdataminingisestablishedeitherintermsofdecision
requirementsforanimportantidentifiedbusinessdecision,orintermsofa
functionalareawhererelevantdatawillbeminedfordomainspecificpattern
discovery.Thistopdownversusabottomupminingstrategyallowsanalyststo
pickthecorrectsetofdataminingtechniques.
Formaldecisionmodellingtechniques(seeDecisionModelling(p.265))areused
todefinerequirementsfortopdowndataminingexercises.Forbottomup
patterndiscoveryexercisesitisusefulifthediscoveredinsightcanbeplacedon
existingdecisionmodels,allowingrapiduseanddeploymentoftheinsight.
Dataminingexercisesareproductivewhenmanagedasanagileenvironment.
Theyassistrapiditeration,confirmation,anddeploymentwhileprovidingproject
controls.
.2 DataPreparation:AnalyticalDataset
Dataminingtoolsworkonananalyticaldataset.Thisisgenerallyformedby
mergingrecordsfrommultipletablesorsourcesintoasingle,widedataset.
Repeatinggroupsaretypicallycollapsedintomultiplesetsoffields.Thedatamay
bephysicallyextractedintoanactualfileoritmaybeavirtualfilethatisleftinthe
databaseordatawarehousesoitcanbeanalyzed.Analyticaldatasetsaresplit
intoasettobeusedforanalysis,acompletelyindependentsetforconfirming
thatthemodeldevelopedworksondatanotusedtodevelopit,andavalidation
setforfinalconfirmation.Datavolumescanbeverylarge,sometimesresultingin
254
Techniques
DataMining
theneedtoworkwithsamplesortoworkindatastoresothatthedatadoesnot
havetobemovedaround.
.3 DataAnalysis
Oncethedataisavailable,itisanalyzed.Awidevarietyofstatisticalmeasuresare
typicallyappliedandvisualizationtoolsusedtoseehowdatavaluesare
distributed,whatdataismissing,andhowvariouscalculatedcharacteristics
behave.Thisstepisoftenthelongestandmostcomplexinadataminingeffort
andisincreasinglythefocusofautomation.Muchofthepowerofadatamining
efforttypicallycomesfromidentifyingusefulcharacteristicsinthedata.For
instance,acharacteristicmightbethenumberoftimesacustomerhasvisiteda
storeinthelast80days.Determiningthatthecountoverthelast80daysismore
usefulthanthecountoverthelast70or90iskey.
Thereareawidevarietyofdataminingtechniques.
Someexamplesofdataminingtechniquesare:
classificationandregressiontrees(CART),C5andotherdecisiontree
analysistechniques,
linearandlogisticregression,
neuralnetworks,
supportsectormachines,and
predictive(additive)scorecards.
Theanalyticaldatasetandthecalculatedcharacteristicsarefedintothese
algorithmswhichareeitherunsupervised(theuserdoesnotknowwhattheyare
lookingfor)orsupervised(theuseristryingtofindorpredictsomethingspecific).
Multipletechniquesareoftenusedtoseewhichismosteffective.Somedatais
heldoutfromthemodellingandusedtoconfirmthattheresultcanbereplicated
withdatathatwasnotusedintheinitialcreation.
.5 Deployment
Onceamodelhasbeenbuilt,itmustbedeployedtobeuseful.Datamining
modelscanbedeployedinavarietyofways,eithertosupportahumandecision
makerortosupportautomateddecisionmakingsystems.Forhumanusers,data
miningresultsmaybepresentedusingvisualmetaphorsorassimpledatafields.
Manydataminingtechniquesidentifypotentialbusinessrulesthatcanbe
deployedusingabusinessrulesmanagementsystem.Suchexecutablebusiness
rulescanbefittedintoadecisionmodelalongwithexpertrulesasnecessary.
Somedataminingtechniquesespeciallythosedescribedaspredictiveanalytic
techniquesresultinmathematicalformulas.Thesecanalsobedeployedas
executablebusinessrulesbutcanalsobeusedtogenerateSQLorcodefor
deployment.Anincreasinglywiderangeofindatabasedeploymentoptionsallow
suchmodelstobeintegratedintoanorganization'sdatainfrastructure.
255
.4 ModellingTechniques
DataModelling
10.14.4
Techniques
UsageConsiderations
.1 Strengths
Revealhiddenpatternsandcreateusefulinsightduringanalysishelping
determinewhatdatamightbeusefultocaptureorhowmanypeoplemightbe
impactedbyspecificsuggestions.
Canbeintegratedintoasystemdesigntoincreasetheaccuracyofthedata.
Canbeusedtoeliminateorreducehumanbiasbyusingthedatatodetermine
thefacts.
.2 Limitations
Applyingsometechniqueswithoutanunderstandingofhowtheyworkcan
resultinerroneouscorrelationsandmisappliedinsight.
Accesstobigdataandtosophisticateddataminingtoolsetsandsoftwaremay
leadtoaccidentalmisuse.
Manytechniquesandtoolsrequirespecialistknowledgetoworkwith.
Sometechniquesuseadvancedmathinthebackgroundandsome
stakeholdersmaynothavedirectinsightsintotheresults.Aperceivedlackof
transparencycancauseresistancefromsomestakeholders.
Dataminingresultsmaybehardtodeployifthedecisionmakingtheyare
intendedtoinfluenceispoorlyunderstood.
10.15
10.15.1
DataModelling
Purpose
Adatamodeldescribestheentities,classesordataobjectsrelevanttoadomain,
theattributesthatareusedtodescribethem,andtherelationshipsamongthem
toprovideacommonsetofsemanticsforanalysisandimplementation.
10.15.2
Description
Adatamodelusuallytakestheformofadiagramthatissupportedbytextual
descriptions.Itvisuallyrepresentstheelementsthatareimportanttothebusiness
(forexample,people,places,things,andbusinesstransactions),theattributes
associatedwiththoseelements,andthesignificantrelationshipsamongthem.
Datamodelsarefrequentlyusedinelicitationandrequirementsanalysisand
design,aswellastosupportimplementationandcontinuousimprovement.
Thereareseveralvariationsofdatamodels:
Conceptualdatamodel:isindependentofanysolutionortechnology
andcanbeusedtorepresenthowthebusinessperceivesitsinformation.It
canbeusedtohelpestablishaconsistentvocabularydescribingbusiness
256
Techniques
DataModelling
informationandtherelationshipswithinthatinformation.
Logicaldatamodel:isanabstractionoftheconceptualdatamodelthat
incorporatesrulesofnormalizationtoformallymanagetheintegrityofthe
dataandrelationships.Itisassociatedwiththedesignofasolution.
Physicaldatamodel:isusedbyimplementationsubjectmatterexpertsto
describehowadatabaseisphysicallyorganized.Itaddressesconcernslike
performance,concurrency,andsecurity.
Theconceptual,logical,andphysicaldatamodelsaredevelopedfordifferent
purposesandmaybesignificantlydifferentevenwhendepictingthesame
domain.
Objectdiagramscanbeusedtoillustrateparticularinstancesofentitiesfroma
datamodel.Theycanincludeactualsamplevaluesfortheattributes,making
objectdiagramsmoreconcreteandmoreeasilyunderstood.
10.15.3
Elements
.1 EntityorClass
Inadatamodel,theorganizationkeepsdataonentities(orclassesordata
objects).Anentitymayrepresentsomethingphysical(suchasaWarehouse),
somethingorganizational(suchasaSalesArea),somethingabstract(suchasa
ProductLine),oranevent(suchasanAppointment).Anentitycontainsattributes
andhasrelationshipstootherentitiesinthemodel.
Inaclassdiagram,entitiesarereferredtoasclasses.Likeanentityinadata
model,aclasscontainsattributesandhasrelationshipswithotherclasses.Aclass
alsocontainsoperationsorfunctionsthatdescribewhatcanbedonewiththe
class,suchasgeneratinganinvoiceoropeningabankaccount.
Eachinstanceofanentityorclasswillhaveauniqueidentifierthatsetsitapart
fromotherinstances.
.2 Attribute
Anattributedefinesaparticularpieceofinformationassociatedwithanentity,
includinghowmuchinformationcanbecapturedinit,itsallowablevalues,and
thetypeofinformationitrepresents.Attributescanbedescribedinadata
dictionary(seeDataDictionary(p.247)).Allowablevaluesmaybespecified
throughbusinessrules(seeBusinessRulesAnalysis(p.240)).
257
Attheconceptuallevel,differentdatamodellingnotationsarelikelytoproduce
broadlysimilarresultsandcanbethoughtofasasingletechnique(aspresented
here).Logicalandphysicaldatamodelsincludeelementsspecifictothesolutions
theysupport,andaregenerallydevelopedbystakeholderswithexpertisein
implementingparticulartechnicalsolutions.Forinstance,logicalandphysical
entityrelationshipdiagrams(ERDs)wouldbeusedtoimplementarelational
database,whereasalogicalorphysicalclassdiagramwouldbeusedtosupport
objectorientedsoftwaredevelopment.
DataModelling
Techniques
Attributescanincludesuchvaluesas:
Name:auniquenamefortheattribute.Othernamesusedbystakeholders
maybecapturedasaliases.
Values/Meanings:alistofacceptablevaluesfortheattribute.Thismaybe
expressedasanenumeratedlistorasadescriptionofallowedformatsfor
thedata(includinginformationsuchasthenumberofcharacters).Ifthe
valuesareabbreviatedthiswillincludeanexplanationofthemeaning.
Description:thedefinitionoftheattributeinthecontextofthesolution.
.3 RelationshiporAssociation
Therelationshipsbetweenentitiesprovidestructureforthedatamodel,
specificallyindicatingwhichentitiesrelatetowhichothersandhow.
Specificationsforarelationshiptypicallyindicatethenumberofminimumand
maximumoccurrencesallowedoneachsideofthatrelationship(forexample,
everycustomerisrelatedtoexactlyonesalesarea,whileasalesareamaybe
relatedtozero,one,ormanycustomers).Thetermcardinalityisusedtoreferto
theminimumandmaximumnumberofoccurrencestowhichanentitymaybe
related.Typicalcardinalityvaluesarezero,one,andmany.
Therelationshipbetweentwoentitiesmaybereadineitherdirection,usingthis
format:
Eachoccurrence(ofthisentity)isrelatedto(minimum,maximum)(ofthis
otherentity).
Inaclassmodel,thetermassociationisusedinsteadofrelationshipand
multiplicityisusedinsteadofcardinality.
.4 Diagrams
Bothdatamodelsandclassmodelsmayhaveoneormorediagramsthatshow
entities,attributes,andrelationships.
Thediagraminadatamodeliscalledanentityrelationshipdiagram(ERD).Ina
classmodel,thediagramiscalledaclassdiagram.
258
Techniques
DataModelling
Figure10.15.1:EntityRelationshipDiagram(Crow'sFootNotation)
Eachentityisshownasa
rectanglewiththeentity
name.
Theuniqueidentifierofthe
entityisshownunderthe
entityname.
relationshiplefttoright
Entity1
UniqueIdentifier
Entity2
UniqueIdentifier
Attribute
relationshiprighttoleft
Attribute
Entity4
UniqueIdentifier
UniqueIdentifier
Attribute1
Attribute2
Attribute
Theattributesoftheentity
arelistedbelowtheunique
identifier.
Relationshipsareindicatedby
aline,whichisannotatedto
showcardinality.
Cardinality
Entity
Anynumber(zero
tomany)
Entity
ZerotoOne
259
Entity
OnlyOne
Entity
Anynumber
fromoneto
many
Entity3
DataModelling
Techniques
Figure10.15.2:ClassDiagram(UML)
Thenameoftheclassislistedhere.It
mayoptionallyhaveastereotypewhich
definesadditionalproperties.
Relationshipsareindicated
byaline,whichmayalsoshow
multiplicity.
<<stereotype>>
Class2
Class1
Attribute1:AttributeType 1
Attribute2:AttributeType
0..*
Operation1
Operation2
Operation3
Attribute1
Attribute2
Attribute3
Attribute4
Theattributesoftheclassare
listedinaboxbelowthename.
Operationsarelistedbelowthe
attributes.
Multiplicity
*
Class
Anynumber
(zerotomany)
Class
MustbeexactlyX
X..Y
Class
Anynumber
fromXtoY
1..*
Class
Anynumberfrom
onetomany
.5 Metadata
Adatamodeloptionallycontainsmetadatadescribingwhattheentities
represent,whenandwhytheywerecreatedorchanged,howtheyshouldbe
used,howoftentheyareused,when,andbywhom.Therecouldberestrictions
ontheircreationoruse,aswellassecurity,privacy,andauditconstraintson
specificentitiesorwholegroupsofentities.
10.15.4
UsageConsiderations
.1 Strengths
Canbeusedtodefineandcommunicateaconsistentvocabularyusedby
domainsubjectmatterexpertsandimplementationsubjectmatterexperts.
Reviewofalogicaldatamodelhelpstoensurethatthelogicaldesignof
persistentdatacorrectlyrepresentsthebusinessneed.
Providesaconsistentapproachtoanalyzinganddocumentingdataandits
relationships.
260
Techniques
DecisionAnalysis
Offerstheflexibilityofdifferentlevelsofdetail,whichprovidesjustenough
informationfortherespectiveaudience.
Formalmodellingoftheinformationheldbythebusinessmayexposenew
requirementsasinconsistenciesareidentified.
.2 Limitations
Followingdatamodellingstandardstoorigorouslymayleadtomodelsthatare
unfamiliartopeoplewithoutabackgroundinIT.
Mayextendacrossmultiplefunctionalareasoftheorganization,andsobeyond
thebusinessknowledgebaseofindividualstakeholders.
10.16.1
DecisionAnalysis
Purpose
Decisionanalysisformallyassessesaproblemandpossibledecisionsinorderto
determinethevalueofalternateoutcomesunderconditionsofuncertainty.
10.16.2
Description
Decisionanalysisexaminesandmodelsthepossibleconsequencesofdifferent
decisionsaboutagivenproblem.Adecisionistheactofchoosingasinglecourse
ofactionfromseveraluncertainoutcomeswithdifferentvalues.Theoutcome
valuemaytakedifferentformsdependingonthedomain,butcommonlyinclude
financialvalue,scoring,orarelativerankingdependentontheapproachand
evaluationcriteriausedbythebusinessanalyst.
Decisionsareoftendifficulttoassesswhen:
theproblemispoorlydefined,
theactionleadingtoadesiredoutcomeisnotfullyunderstood,
theexternalfactorsaffectingadecisionarenotfullyunderstood,or
thevalueofdifferentoutcomesisnotunderstoodoragreeduponbythe
variousstakeholdersanddoesnotallowfordirectcomparison.
Decisionanalysishelpsbusinessanalystsevaluatedifferentoutcomevaluesunder
conditionsofuncertaintyorinhighlycomplexsituations.Avarietyofdecision
analysisapproachesareavailable.Theappropriateapproachdependsonthelevel
ofuncertainty,risk,qualityofinformation,andavailableevaluationcriteria.
Effectivedecisionanalysisrequiresanunderstandingof:
thevalues,goals,andobjectivesthatarerelevanttothedecisionproblem,
thenatureofthedecisionthatmustbemade,
theareasofuncertaintythataffectthedecision,and
theconsequencesofeachpotentialdecision.
261
10.16
DecisionAnalysis
Techniques
Decisionanalysisapproachesusethefollowingactivities:
1. DefineProblemStatement:clearlydescribethedecisionproblemtobe
addressed.
2. DefineAlternatives:identifypossiblepropositionsorcoursesofaction.
3. EvaluateAlternatives:determinealogicalapproachtoanalyzethe
alternatives.Anagreementofevaluationcriteriacanalsobedetermined
atthebeginningofthisactivity.
4. ChooseAlternativetoImplement:thestakeholdersresponsiblefor
makingthedecisionchoosewhichalternativewillbeimplementedbased
onthedecisionanalysisresults.
5. ImplementChoice:implementthechosenalternative.
Thereareanumberofdecisionanalysistoolsavailabletoassistthebusiness
analystanddecisionmakersinmakingobjectivedecisions.Someofthetoolsand
techniquesarebestfordecidingbetweentwoalternatives,whileothershandle
multiplealternatives.
Somegeneraldecisionanalysistoolsandtechniquesinclude:
proversusconconsiderations,
forcefieldanalysis,
decisiontables,
decisiontrees,
comparisonanalysis,
analyticalhierarchyprocess(AHP),
totallypartiallynot(TPN),
multicriteriadecisionanalysis(MCDA),and
computerbasedsimulationsandalgorithms.
10.16.3
Elements
.1 ComponentsofDecisionAnalysis
Generalcomponentsofdecisionanalysisinclude:
DecisiontobeMadeorProblemStatement:adescriptionofwhatthe
decisionquestionorproblemisabout.
DecisionMaker:personorpeopleresponsibleformakingthefinal
decision.
Alternative:apossiblepropositionorcourseofaction.
DecisionCriteria:evaluationcriteriausedtoevaluatethealternatives.
262
Techniques
DecisionAnalysis
.2 DecisionMatrices
Thetablesbelowprovideexamplesofaasimpledecisionmatrixandaweighted
decisionmatrix.
Asimpledecisionmatrixcheckswhetherornoteachalternatemeetseach
criterionbeingevaluated,andthentotalsthenumberofcriteriamatchedforeach
alternate.Inthisexample,Alternate1wouldlikelybeselectedbecauseitmatches
themostcriteria.
Table10.16.1:SimpleDecisionMatrix
Alternate2
Alternate3
Criterion1
Meetscriterion
n/a
n/a
Criterion2
Meetscriterion
Meetscriterion
Meetscriterion
Criterion3
n/a
Meetscriterion
Meetscriterion
Criterion4
Meetscriterion
n/a
n/a
Score
Aweighteddecisionmatrixassessesoptionsinwhicheachcriterionisweighted
basedonimportance.Thehighertheweighting,themoreimportantthe
criterion.Inthisexample,thecriteriaareweightedonascaleof15,where5
indicatesthemostimportant.Thealternatesarerankedpercriteriononascaleof
15,where5indicatesthebestmatch.Inthisexample,Alternate3wouldlikely
beselectedduetoitshighweightedscore.
Table10.16.2:WeightedDecisionMatrix
Criterion
Weighting
Alternate1
Alt1
Value
Criterion1
Rank=1*3
Rank=1*5
Rank=1*2
Criterion2
Rank=1*5
Rank=1*4
Rank=1*3
Criterion3
Rank=3*5
15
Rank=3*1
Rank=3*5
15
Criterion4
Rank=5*1
Rank=5*5
25
Rank=5*3
15
28
Weighted
Score
Alternate2
Alt2
Value
Alternate3
37
Alt3
Value
40
.3 DecisionTrees
Formore
informationon
decisiontrees,see
Decision
Modelling
(p.265).
Adecisiontreeisamethodofassessingthepreferredoutcomewheremultiple
sourcesofuncertaintymayexist.Adecisiontreeallowsforassessmentof
responsestouncertaintytobefactoredacrossmultiplestrategies.
Decisiontreesinclude:
DecisionNodes:thatincludedifferentstrategies.
ChanceNodes:thatdefineuncertainoutcomes.
TerminatororEndNodes:thatidentifyafinaloutcomeofthetree.
263
Alternate1
DecisionAnalysis
Techniques
.4 Tradeoffs
Tradeoffsbecomerelevantwheneveradecisionprobleminvolvesmultiple,
possiblyconflicting,objectives.Becausemorethanoneobjectiveisrelevant,itis
notsufficienttosimplyfindthemaximumvalueforonevariable(suchasthe
financialbenefitfortheorganization).Whenmakingtradeoffs,effective
methodsinclude:
Eliminationofdominatedalternatives:adominatedalternativeisany
optionthatisclearlyinferiortosomeotheroption.Ifanoptionisequalto
orworsethansomeotheroptionwhenratedagainsttheobjectives,the
otheroptioncanbesaidtodominateit.Insomecases,anoptionmayalso
bedominatedifitonlyoffersverysmalladvantagesbuthassignificant
disadvantages.
Rankingobjectivesonasimilarscale:onemethodofconverting
rankingstoasimilarscaleisproportionalscoring.Usingthismethod,the
bestoutcomeisassignedaratingof100,theworstaratingof0,andall
otheroutcomesaregivenaratingbasedonwheretheyfallbetweenthose
twoscores.Iftheoutcomesarethenassignedweightsbasedontheir
relativeimportance,ascorecanbeassignedtoeachoutcomeandthebest
alternativeassignedusingadecisiontree.
10.16.4
UsageConsiderations
.1 Strengths
Providesbusinessanalystswithaprescriptiveapproachfordetermining
alternateoptions,especiallyincomplexoruncertainsituations.
Helpsstakeholderswhoareunderpressuretoassessoptionsbasedoncriteria,
thusreducingdecisionsbasedondescriptiveinformationandemotions.
Requiresstakeholderstohonestlyassesstheimportancetheyplaceondifferent
alternateoutcomesinordertohelpavoidfalseassumptions.
Enablesbusinessanalyststoconstructappropriatemetricsorintroducerelative
rankingsforoutcomeevaluationinordertodirectlycompareboththefinancial
andnonfinancialoutcomeevaluationcriteria.
.2 Limitations
Theinformationtoconductproperdecisionanalysismaynotbeavailablein
timetomakethedecision.
Manydecisionsmustbemadeimmediately,withouttheluxuryofemployinga
formaloreveninformaldecisionanalysisprocess.
Thedecisionmakermustprovideinputtotheprocessandunderstandthe
assumptionsandmodellimitations.Otherwise,theymayperceivetheresults
providedbythebusinessanalystasmorecertainthantheyare.
Analysisparalysiscanoccurwhentoomuchdependenceisplacedonthe
decisionanalysisandindeterminingprobabilisticvalues.
264
Techniques
DecisionModelling
Somedecisionanalysismodelsrequirespecializedknowledge(forexample,
mathematicalknowledgeinprobabilityandstrongskillswithdecisionanalysis
tools).
10.17
10.17.1
DecisionModelling
Purpose
Decisionmodellingshowshowrepeatablebusinessdecisionsaremade.
10.17.2
Description
Acomprehensivedecisionmodelisanoverarchingmodelthatislinkedto
processes,performancemeasures,andorganizations.Itshowswherethe
businessrulescomefromandrepresentsdecisionsasanalyticalinsight.
Thebusinessrulesinvolvedinagivendecisionmaybedefinitionalorbehavioural.
Forinstance,adecision'Validateorder'mightcheckthatthetaxamountis
calculatedcorrectly(adefinitionalrule)andthatthebillingaddressmatchesthe
creditcardprovided(abehaviouralrule).
Decisiontablesanddecisiontreesdefinehowaspecificdecisionismade.A
graphicaldecisionmodelcanbeconstructedatvariouslevels.Ahighlevelmodel
mayonlyshowthebusinessdecisionsastheyappearinbusinessprocesses,while
amoredetailedmodelmightshowasisortobedecisionmakinginenough
detailtoactasastructureforalltherelevantbusinessrules.
10.17.3
Elements
.1 TypesofModelsandNotations
Thereareseveraldifferentapproachestodecisionmodelling.Decisiontables
representalltherulesrequiredtomakeanatomicdecision.Decisiontreesare
commoninsomeindustries,butaregenerallyusedmuchlessoftenthandecision
tables.Complexdecisionsrequirethecombinationofmultiplesimpledecisions
intoanetwork.Thisisshownusingdependencyorrequirementsnotations.
265
Decisionmodelsshowhowdataandknowledgearecombinedtomakeaspecific
decision.Decisionmodelscanbeusedforbothstraightforwardandcomplex
decisions.Straightforwarddecisionmodelsuseasingledecisiontableordecision
treetoshowhowasetofbusinessrulesthatoperateonacommonsetofdata
elementscombinetocreateadecision.Complexdecisionmodelsbreakdown
decisionsintotheirindividualcomponentssothateachpieceofthedecisioncan
beseparatelydescribedandthemodelcanshowhowthosepiecescombineto
makeanoveralldecision.Theinformationthatneedstobeavailabletomakethe
decisionandanysubdecisionscanbedecomposed.Eachsubdecisionis
describedintermsofthebusinessrulesrequiredtomakethatpartofthe
decision.
DecisionModelling
Techniques
Alloftheseapproachesinvolvethreekeyelements:
decision,
information,and
knowledge.
DecisionTables
Businessdecisionsuseaspecificsetofinputvaluestodetermineaparticular
outcomebyusingadefinedsetofbusinessrulestoselectonefromtheavailable
outcomes.Adecisiontableisacompact,tabularrepresentationofasetofthese
rules.Eachrow(orcolumn)isaruleandeachcolumn(orrow)representsoneof
theconditionsofthatrule.Whenalltheconditionsinaparticularruleevaluateto
trueforasetofinputdata,theoutcomeoractionspecifiedforthatruleis
selected.
Decisiontablesgenerallycontainoneormoreconditioncolumnsthatmapto
specificdataelements,aswellasoneormoreactionoroutcomecolumns.Each
rowcancontainaspecificconditionineachconditioncolumn.Theseare
evaluatedagainstthevalueofthedataelementbeingconsidered.Ifallthecellsin
aruleareeitherblankorevaluatetotrue,theruleistrueandtheresultspecified
intheactionoroutcomecolumnoccurs.
Figure10.17.1:DecisionTable
EligibilityRules
LoanAmount
<=1000
10002000
>2000
Age
Eligibility
>18
Eligible
<=18
Ineligible
>21
Eligible
<=21
Ineligible
>=25
Eligible
<25
Ineligible
DecisionTrees
Decisiontreesarealsousedtorepresentasetofbusinessrules.Eachpathona
decisiontreeleafnodeisasinglerule.Eachlevelinthetreerepresentsaspecific
dataelementthedownstreambranchesrepresentthedifferentconditionsthat
mustbetruetocontinuedownthatbranch.Decisiontreescanbeveryeffective
forrepresentingcertainkindsofrulesets,especiallythoserelatingtocustomer
segmentation.
Aswithdecisiontables,adecisiontreeselectsoneoftheavailableactionsor
outcomes(aleafnodeshownonthefarrightorbottomofthetree)basedonthe
266
Techniques
DecisionModelling
specificvaluespassedtoitbythedataelementsthatrepresentthebranching
nodes.
Inthefollowingdecisiontree,therulesinthetreeshareconditions(represented
byearliernodesinthetree).
Figure10.17.2:DecisionTree
Age
>18
<=1 8
Age
>2 1
<=2 1
0
1 00
=
<
Amount
10002000
>2
000
> = 25
< 25
Ineligible
Eligible
Ineligible
Eligible
Ineligible
DecisionRequirementsDiagrams
Adecisionrequirementsdiagramisavisualrepresentationoftheinformation,
knowledge,anddecisionmakinginvolvedinamorecomplexbusinessdecision.
Decisionrequirementdiagramscontainthefollowingelements:
Decisions:shownasrectangles.Eachdecisiontakesasetofinputsand
selectsfromadefinedsetofpossibleoutputsbyapplyingbusinessrulesand
otherdecisionlogic.
InputData:shownasovals,representingdatathatmustbepassedasan
inputtoadecisiononthediagram.
BusinessKnowledgeModels:shownasarectanglewiththecornerscut
off,representingsetsofbusinessrules,decisiontables,decisiontrees,or
evenpredictiveanalyticmodelsthatdescribepreciselyhowtomakea
decision.
KnowledgeSources:shownasadocument,representingtheoriginal
sourcedocumentsorpeoplefromwhichthenecessarydecisionlogiccanbe
orhasbeenderived.
Thesenodesarelinkedtogetherintoanetworktoshowthedecompositionof
complexdecisionmakingintosimplerbuildingblocks.Solidarrowsshowthe
informationrequirementsforadecision.Theseinformationrequirementsmight
linkinputdatatoadecision,toshowthatthisdecisionrequiresthatdatatobe
available,ormightlinktwodecisionstogether.
Businessknowledgemodelswhichdescribehowtomakeaspecificdecisioncan
belinkedtothatdecisionwithdashedarrowstodisplayknowledgerequirements.
Knowledgesourcescanbelinkedtodecisionswithadashed,roundedarrowto
showthataknowledgesource(forexample,adocumentorperson)isan
authorityforthedecision.Thisiscalledanauthorityrequirement.
267
Age
Eligible
DecisionModelling
Techniques
Figure10.17.3:DecisionRequirementsDiagram
Knowledge
Source
Business
Knowledge
Business
Knowledge
Decision
Decision
InputData
InputData
10.17.4
UsageConsiderations
.1 Strengths
Decisionmodelsareeasytosharewithstakeholders,facilitateashared
understanding,andsupportimpactanalysis.
Multipleperspectivescanbesharedandcombined,especiallywhenadiagram
isused.
Simplifiescomplexdecisionmakingbyremovingbusinessrulesmanagement
fromtheprocess.
Assistswithmanaginglargenumbersofrulesindecisiontablesbygrouping
rulesbydecision.Thisalsohelpswithreuse.
Thesemodelsworkforrulesbasedautomation,datamining,andpredictive
analytics,aswellasformanualdecisionsorbusinessintelligenceprojects.
.2 Limitations
Addsaseconddiagramstylewhenmodellingbusinessprocessesthatcontain
decisions.Thismayaddunnecessarycomplexityifthedecisionissimpleand
tightlycoupledwiththeprocess.
Maylimitrulestothoserequiredbyknowndecisionsandsolimitthecaptureof
rulesnotrelatedtoaknowndecision.
Definingdecisionmodelsmayallowanorganizationtothinkithasastandard
wayofmakingdecisionswhenitdoesnot.Maylockanorganizationintoa
currentstatedecisionmakingapproach.
Cutsacrossorganizationalboundaries,whichcanmakeitdifficulttoacquire
anynecessarysignoff.
Maynotaddressbehaviouralbusinessrulesinadirectfashion.
268
Techniques
DocumentAnalysis
Businessterminologymustbeclearlydefinedandshareddefinitionsdeveloped
toavoiddataqualityissuesaffectingautomateddecisions.
10.18
10.18.1
DocumentAnalysis
Purpose
Documentanalysisisusedtoelicitbusinessanalysisinformation,including
contextualunderstandingandrequirements,byexaminingavailablematerials
thatdescribeeitherthebusinessenvironmentorexistingorganizationalassets.
10.18.2
Description
Backgroundresearchgatheredthroughdocumentanalysismayincludereviewing
materialssuchasmarketingstudies,industryguidelinesorstandards,company
memos,andorganizationalcharts.Byresearchingawidevarietyofsource
materials,thebusinessanalystcanensuretheneedisfullyunderstoodintermsof
theenvironmentinwhichitexists.Documentanalysisaboutanexistingsolution
mayincludereviewingbusinessrules,technicaldocumentation,training
documentation,problemreports,previousrequirementsdocuments,and
proceduremanualsinordertovalidatebothhowthecurrentsolutionworksand
whyitwasimplementedinitscurrentform.Documentanalysiscanalsohelp
addressinformationgapsthatmayoccurwhenthesubjectmatterexperts(SMEs)
fortheexistingsolutionarenolongerpresentorwillnotbeavailableforthe
durationoftheelicitationprocess.
10.18.3
Elements
.1 Preparation
Documentanalysismaterialsmayoriginatefrompublicorproprietarysources.
Whenassessingsourcedocumentsforanalysis,businessanalystsconsider:
whetherornotthesourcescontentisrelevant,current,genuine,and
credible,
269
Documentanalysismaybeusedtogatherbackgroundinformationinorderto
understandthecontextofabusinessneed,oritmayincluderesearchingexisting
solutionstovalidatehowthosesolutionsarecurrentlyimplemented.Document
analysismayalsobeusedtovalidatefindingsfromotherelicitationeffortssuchas
interviewsandobservations.Dataminingisoneapproachtodocumentanalysis
thatisusedtoanalyzedatainordertodeterminepatterns,groupthedatainto
categories,anddetermineopportunitiesforchange.Thepurpose,scope,and
topicstoberesearchedthroughdocumentanalysisaredeterminedbasedonthe
businessanalysisinformationbeingexplored.Whenperformingdocument
analysis,businessanalystsmethodicallyreviewthematerialsanddetermine
whethertheinformationshouldberecordedwithinaworkproduct.
DocumentAnalysis
Techniques
whetherornotthecontentisunderstandableandcanbeeasilyconveyed
tostakeholdersasneeded,and
definingboththedatatobemined(basedontheclassesofdataneeded)
andthedataclustersthatprovideitemsgroupedbylogicalrelationships.
.2 DocumentReviewandAnalysis
Performingdocumentanalysisincludes:
Conductingadetailedreviewofeachdocumentscontentandrecording
relevantnotesassociatedwitheachtopic.Notescanberecordedusinga
documentanalysischartthatincludesthetopic,type,source,verbatim
details,aparaphrasedcritique,andanyfollowupissuesoractionsforeach
documentthatisreviewed.
Identifyingifanynotesconflictorareduplicates.
Notinganygapsinknowledgeinwhichthefindingsaboutcertaintopics
arelimited.Itmaybenecessarytoperformadditionalresearchtorevisit
thesetopics,ortodrilldownatasubtopiclevel.
.3 RecordFindings
Whentheinformationelicitedthroughdocumentanalysisisusedinawork
product,thebusinessanalystconsiders:
ifthecontentandlevelofdetailisappropriatefortheintendedaudience,
and
ifthematerialshouldbetransformedintovisualaidssuchasgraphs,
models,processflows,ordecisiontablesinordertohelpimprove
understanding.
10.18.4
UsageConsiderations
.1 Strengths
Existingsourcematerialmaybeusedasabasisforanalysis.
Thebusinessanalystdoesnotneedtocreatecontent.
Existingsources,althoughpossiblyoutdated,canbeusedasapointof
referencetodeterminewhatiscurrentandwhathaschanged.
Resultscanbeusedtovalidateagainsttheresultsofotherrequirements
elicitationtechniques.
Findingscanbepresentedinformatsthatpermiteaseofreviewandreuse.
.2 Limitations
Existingdocumentationmaybeoutofdateorinvalid(incorrect,missing
information,unreadable,unreviewedorunapproved).
Authorsmaynotbeavailableforquestions.
270
Techniques
Estimation
Primarilyhelpfulonlyforevaluatingthecurrentstate,viareviewofasis
documentation.
Ifthereisawiderangeofsources,theeffortmaybeverytimeconsumingand
leadtoinformationoverloadandconfusion.
10.19
10.19.1
Estimation
Purpose
Estimationisusedbybusinessanalystsandotherstakeholderstoforecastthecost
andeffortinvolvedinpursuingacourseofaction.
Description
Estimationisusedtosupportdecisionmakingbypredictingattributessuchas:
costandefforttopursuea
courseofaction,
potentialvalueanticipatedfrom
asolution,and
expectedsolutionbenefits,
costsofcreatingasolution,
projectcost,
costsofoperatingasolution,
businessperformance,
potentialriskimpact.
Theresultofestimationissometimesexpressedasasinglenumber.Representing
theresultsofestimationasarange,withminimumandmaximumvaluesalong
withprobability,maypresentahigherdegreeofeffectivenessforstakeholders.
Thisrangeisreferredtoasaconfidenceintervalandservesasameasureofthe
levelofuncertainty.Thelessinformationthatisavailabletotheestimator,the
widertheconfidenceintervalwillbe.
Estimationisaniterativeprocess.Estimatesarereviewedasmoreinformation
becomesavailable,andarealsorevised(ifappropriate).Manyestimation
techniquesrelyonhistoricalperformancerecordsfromtheorganizationinorder
tocalibrateestimatesagainstpriorexperience.Eachestimatecanincludean
assessmentofitsassociatedlevelofuncertainty.
10.19.3
Elements
.1 Methods
Variousmethodsofestimationareusedforspecificsituations.Ineachcaseitis
importantfortheestimatorstohaveanagreedupondescriptionoftheelements
tobeestimated,oftenintheformofaworkbreakdownstructureorsomeother
decompositionofalltheworkbeingestimated.Whendevelopinganddelivering
anestimate,constraintsandassumptionsalsoneedtobeclearlycommunicated.
Commonestimationmethodsinclude:
Topdown:examiningthecomponentsatahighlevelinahierarchical
breakdown.
271
10.19.2
Estimation
Techniques
Bottomup:usingthelowestlevelelementsofahierarchicalbreakdownto
examinetheworkindetailandestimatetheindividualcostoreffort,and
thensummingacrossallelementstoprovideanoverallestimate.
ParametricEstimation:useofacalibratedparametricmodelofthe
elementattributesbeingestimated.Itisimportantthattheorganization
usesitsownhistorytocalibrateanyparametricmodel,sincetheattribute
valuesreflecttheskillsandabilitiesofbothitsstaffandtheprocessesused
todowork.
RoughOrderofMagnitude(ROM):ahighlevelestimate,generally
basedonlimitedinformation,whichmayhaveaverywideconfidence
interval.
RollingWave:repeatedestimatesthroughoutaninitiativeorproject,
providingdetailedestimatesforneartermactivities(suchasaniterationof
thework)extrapolatedfortheremainderoftheinitiativeorproject.
Delphi:usesacombinationofexpertjudgmentandhistory.Thereare
severalvariationsonthisprocess,buttheyallincludeindividualestimates,
sharingtheestimateswithexperts,andhavingseveralroundsofestimation
untilconsensusisreached.Anaverageofthethreeestimatesisused.
PERT:eachcomponentoftheestimateisgiventhreevalues:(1)Optimistic
value,representingthebestcasescenario,(2)Pessimisticvalue,
representingtheworstcasescenario,(3)MostLikelyvalue.ThenaPERT
valueforeachestimatedcomponentiscomputedasaweightedaverage:
(Optimistic+Pessimistic+(4timesMostLikely))/6.
.2 AccuracyoftheEstimate
Theaccuracyofanestimateisameasureofuncertaintythatevaluateshowclose
anestimateistotheactualvaluemeasuredlater.Itcanbecalculatedasaratioof
thewidthoftheconfidenceintervaltoitsmeanvalueandthenexpressedasa
percentage.Whenthereislittleinformation,suchasearlyinthedevelopmentof
asolutionapproach,aRoughOrderofMagnitude(ROM)estimateisdelivered,
whichisexpectedtohaveawiderangeofpossiblevaluesandahighlevelof
uncertainty.
ROMestimatesareoftennomorethan+50%to50%accurate.Adefinitive
estimate,whichismuchmoreaccurate,canbemadeaslongasmorerealworld
dataiscollected.Definitiveestimatesthatareusedforpredictingtimelines,final
budgets,andresourceneedsshouldideallybeaccuratewithin10%orless.
TeamscancombinetheuseofROMestimatesanddefinitiveestimates
throughoutaprojectorinitiativeusingrollingwaveestimates.Ateamcreatesa
definitiveestimateforthenextiterationorphase(forwhichtheyhaveadequate
information),whiletheremainderoftheworkisgivenaROMestimate.Asthe
endoftheiterationorphaseapproaches,adefinitiveestimateismadeforthe
workofthenextiterationorphaseandtheROMestimateforremainingactivities
isrefined.
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.3 SourcesofInformation
Estimatorsconsideravailableinformationfrompriorexperiencealongwiththe
attributesbeingestimated.
Somecommonsourcesofinformationinclude:
AnalogousSituations:usinganelement(project,initiative,risk,orother)
thatisliketheelementbeingestimated.
OrganizationHistory:previousexperiencesoftheorganizationwith
similarwork.Thisismosthelpfulifthepriorworkwasdonebythesameor
asimilarlyskilledteamandbyusingthesametechniques.
.4 PrecisionandReliabilityofEstimates
Whenmultipleestimatesaremadeforaparticularattribute,theprecisionofthe
resultingestimateisameasureofagreementbetweentheestimates(howclose
theyaretoeachother).Byexaminingmeasuresofimprecisionsuchasvarianceor
standarddeviation,estimatorscandeterminetheirlevelofagreement.
Thereliabilityofanestimate(itsrepeatability)isreflectedinthevariationof
estimatesmadebydifferentmethodsofestimatingorbydifferentestimators.
Toillustratethelevelofreliabilityandprecision,anestimateisoftenexpressedas
arangeofvalueswithanassociatedconfidencelevel.Thatis,foragiven
summaryestimatevalueandconfidencelevel,therangeofvaluesistheexpected
rangeofpossiblevaluesbasedontheestimatesprovided.Forexample,ifateam
estimatedthatsometaskwouldtake40hours,a90%confidenceintervalmight
be36to44hours,dependingonwhattheygaveasindividualestimates.A95%
confidenceintervalmightbe38to42hours.Ingeneral,thehigherthe
confidencelevelintheestimate,thenarrowertherangewouldbe.
Toprovideestimateswithaparticularlevelofconfidence,estimatorscanusea
techniquesuchasPERT.Usingthemultipleestimatesforeachcomponentofthe
estimate,aprobabilitydistributioncanbeconstructed.Thisdistributionprovidesa
waytocomputeanoverallestimate(incorporatingalloftheestimatedelements)
asarangeofvalues,withanassociatedlevelofconfidence.
.5 ContributorstoEstimates
Theestimatorsofanelementarefrequentlythoseresponsibleforthatelement.
Theestimateofateamisusuallymoreaccuratethantheestimateofone
individual,sinceitincorporatestheexpertiseofallteammembers.
Insomecases,anorganizationhasagroupthatperformsestimationformuchof
theworkoftheorganization.Thisisdonewithcare,sothattheestimatereflects
thelikelycontextoftheelementbeingestimated.
273
ExpertJudgment:leveragingtheknowledgeofindividualsaboutthe
elementbeingestimated.Estimatingoftenreliesontheexpertiseofthose
whohaveperformedtheworkinthepast,internalorexternaltothe
organization.Whenusingexternalexperts,estimatorstakeintoaccountthe
relevantskillsandabilitiesofthosedoingtheworkbeingestimated.
FinancialAnalysis
Techniques
Whenanorganizationneedsahighlevelofconfidenceintheestimateofsome
criticalelement,itmaycallonanexternalexperttoperformorreviewthe
estimate.Theorganizationmaycompareanindependentestimateagainsttheir
internalestimatetodeterminewhatadjustmentsmaybeneeded.
10.19.4
UsageConsiderations
.1 Strengths
Estimatesprovidearationaleforanassignedbudget,timeframe,orsizeofa
setofelements.
Withoutanestimate,teamsmakingachangemaybeprovidedanunrealistic
budgetorschedulefortheirwork.
Havingasmallteamofknowledgeableindividualsprovideanestimateby
followingadefinedtechniquegenerallyresultsinacloserpredictorofthe
actualvaluethanifanestimatewasmadebyoneindividual.
Updatinganestimatethroughoutaworkcycle,inwhichtheestimated
elementsarerefinedovertime,incorporatesknowledgeandhelpsensure
success.
.2 Limitations
Estimatesareonlyasaccurateasthelevelofknowledgeabouttheelements
beingestimated.Withoutorganizationorlocalknowledge,estimatescanvary
widelyfromtheactualvaluesdeterminedlater.
Usingjustoneestimationmethodmayleadstakeholderstohaveunrealistic
expectations.
10.20
10.20.1
FinancialAnalysis
Purpose
Financialanalysisisusedtounderstandthefinancialaspectsofaninvestment,a
solution,orasolutionapproach.
10.20.2
Description
Financialanalysisistheassessmentoftheexpectedfinancialviability,stability,and
benefitrealizationofaninvestmentoption.Itincludesaconsiderationofthe
tbbotalcostofthechangeaswellasthetotalcostsandbenefitsofusingand
supportingthesolution.
Businessanalystsusefinancialanalysistomakeasolutionrecommendationforan
investmentinaspecificchangeinitiativebycomparingonesolutionorsolution
approachtoothers,basedonanalysisofthe:
initialcostandthetimeframeinwhichthosecostsareincurred,
expectedfinancialbenefitsandthetimeframeinwhichtheywillbeincurred,
ongoingcostsofusingthesolutionandsupportingthesolution,
274
Techniques
FinancialAnalysis
risksassociatedwiththechangeinitiative,and
ongoingriskstobusinessvalueofusingthatsolution.
Acombinationofanalysistechniquesaretypicallyusedbecauseeachprovidesa
differentperspective.Executivescomparethefinancialanalysisresultsofone
investmentoptionwiththatofotherpossibleinvestmentstomakedecisions
aboutwhichchangeinitiativestosupport.
Financialanalysisdealswithuncertainty,andasachangeinitiativeprogresses
throughitslifecycle,theeffectsofthatuncertaintybecomebetterunderstood.
Financialanalysisiscontinuouslyappliedduringtheinitiativetodetermineifthe
changeislikelytodeliverenoughbusinessvaluesuchthatitshouldcontinue.A
businessanalystmayrecommendthatachangeinitiativebeadjustedorstopped
ifnewinformationcausesthefinancialanalysisresultstonolongersupportthe
initialsolutionrecommendation.
Elements
.1 CostoftheChange
Thecostofachangeincludestheexpectedcostofbuildingoracquiringthe
solutioncomponentsandtheexpectedcostsoftransitioningtheenterprisefrom
thecurrentstatetothefuturestate.Thiscouldincludethecostsassociatedwith
changingequipmentandsoftware,facilities,staffandotherresources,buying
outexistingcontracts,subsidies,penalties,convertingdata,training,
communicatingthechange,andmanagingtherollout.Thesecostsmaybe
sharedbetweenorganizationswithintheenterprise.
.2 TotalCostofOwnership(TCO)
Thetotalcostofownership(TCO)isthecosttoacquireasolution,thecostof
usingthesolution,andthecostofsupportingthesolutionfortheforeseeable
future,combinedtohelpunderstandthepotentialvalueofasolution.Inthecase
ofequipmentandfacilities,thereisoftenagenerallyagreedtolifeexpectancy.
However,inthecaseofprocessesandsoftware,thelifeexpectancyisoften
unknown.Someorganizationsassumeastandardtimeperiod(forexample,three
tofiveyears)tounderstandthecostsofownershipofintangibleslikeprocesses
andsoftware.
.3 ValueRealization
Valueistypicallyrealizedovertime.Theplannedvaluecouldbeexpressedonan
annualbasis,orcouldbeexpressedasacumulativevalueoveraspecifictimeperiod.
.4 CostBenefitAnalysis
Costbenefitanalysis(sometimescalledbenefitcostanalysis)isapredictionofthe
expectedtotalbenefitsminustheexpectedtotalcosts,resultinginanexpected
netbenefit(theplannedbusinessvalue).
Assumptionsaboutthefactorsthatmakeupthecostsandbenefitsshouldbe
clearlystatedinthecalculationssotheycanbereviewed,challengedand
275
10.20.3
FinancialAnalysis
Techniques
approved.Thecostsandbenefitswilloftenbeestimatedbasedonthose
assumptions,andtheestimatingmethodologyshouldbedescribedsothatitcan
bereviewedandadjustedifnecessary.
Thetimeperiodofacostbenefitanalysisshouldlookfarenoughintothefuture
thatthesolutionisinfulluse,andtheplannedvalueisbeingrealized.Thiswill
helptounderstandwhichcostswillbeincurredandwhen,andwhenthe
expectedvalueshouldberealized.
Table10.20.1:ExampleofaCostBenefitAnalysis
Year0
Year1
Year2
Year3
ExpectedBenefits
Revenue
$XXXX
$XXXX
$XXXX
Reducedoperatingcosts
$XXXX
$XXXX
$XXXX
Timesavings
$XXXX
$XXXX
$XXXX
Reducedcostoferrors
$XXXX
$XXXX
$XXXX
Increasedcustomer
satisfaction
$XXXX
$XXXX
$XXXX
Decreasedcostof
compliance
$XXXX
$XXXX
$XXXX
Other
$XXXX
$XXXX
$XXXX
TotalAnnualbenefits
$0
$XXXX
$XXXX
$XXXX
Costs
Projectcosts
$XXXX
Ongoingsupport
$0
Newfacilities
$XXXX
Licensing
$0
Infrastructurerenewal
$XXXX
Other
$0
$XXXX
$XXXX
$0
$XXXX
$0
$XXXX
$0
$XXXX
$0
$0
$XXXX
$XXXX
$XXXX
$XXXX
$XXXX
$0
$0
$XXXX
TotalCosts
$XXXX
$XXXX
$XXXX
$XXXX
NetBenefits
$XXXX
$XXXX
$XXXX
$XXXX
CumulativeNetBenefits
$XXXX
$XXXX
$XXXX
$XXXX
Somebenefitsmaynotberealizeduntilfutureyears.Someprojectandoperating
costsmayberecognizedinfutureyears.Thecumulativenetbenefitscouldbe
negativeforsometimeuntilthefuture.
Insomeorganizations,allorpartofthecostsassociatedwiththechangemaybe
amortizedoverseveralyears,andtheorganizationmayrequirethecostbenefit
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Techniques
FinancialAnalysis
analysistoreflectthis.
Duringachangeinitiative,astheexpectedcostsbecomerealcosts,thebusiness
analystmayreexaminethecostbenefitanalysistodetermineifthesolutionor
solutionapproachisstillviable.
.5 FinancialCalculations
Organizationsuseacombinationofstandardfinancialcalculationstounderstand
differentperspectivesaboutwhenandhowdifferentinvestmentsdelivervalue.
Thesecalculationstakeintoconsiderationtheinherentrisksindifferent
investments,theamountofupfrontmoneytobeinvestedcomparedtowhenthe
benefitswillberealized,acomparisontootherinvestmentstheorganization
couldmake,andtheamountoftimeitwilltaketorecouptheoriginal
investment.
ReturnonInvestment
Thereturnoninvestment(ROI)ofaplannedchangeisexpressedasapercentage
measuringthenetbenefitsdividedbythecostofthechange.Onechange
initiative,solution,orsolutionapproachmaybecomparedtothatofothersto
determinewhichoneprovidesthegreateroverallreturnrelativetotheamountof
theinvestment.
TheformulatocalculateROIis:
ReturnonInvestment=(TotalBenefitsCostoftheInvestment)/Costof
theInvestment.
ThehighertheROI,thebettertheinvestment.
Whenmakingacomparisonbetweenpotentialinvestments,thebusinessanalyst
shouldusethesametimeperiodforboth.
DiscountRate
Thediscountrateistheassumedinterestrateusedinpresentvaluecalculations.In
general,thisissimilartotheinterestratethattheorganizationwouldexpectto
earnifitinvesteditsmoneyelsewhere.Manyorganizationsuseastandard
discountrate,usuallydeterminedbyitsfinanceofficers,toevaluatepotential
investmentssuchaschangeinitiativesusingthesameassumptionsaboutexpected
interestrates.Sometimesalargerdiscountrateisusedfortimeperiodsthatare
morethanafewyearsintothefuturetoreflectgreateruncertaintyandrisk.
PresentValue
Differentsolutionsanddifferentsolutionapproachescouldrealizebenefitsat
differentratesandoveradifferenttime.Toobjectivelycomparetheeffectsof
thesedifferentratesandtimeperiods,thebenefitsarecalculatedintermsof
presentdayvalue.Thebenefittoberealizedsometimeinthefutureisreducedby
277
Financialsoftware,includingspreadsheets,typicallyprovidepreprogrammed
functionstocorrectlyperformthesefinancialcalculations.
FinancialAnalysis
Techniques
thediscountratetodetermineitsworthtoday.
Theformulatocalculatepresentvalueis:
PresentValue=Sumof(NetBenefitsinthatperiod/(1+DiscountRatefor
thatperiod))forallperiodsinthecostbenefitanalysis.
Presentvalueisexpressedincurrency.Thehigherthepresentvalue,thegreater
thetotalbenefit.
Presentvaluedoesnotconsiderthecostoftheoriginalinvestment.
NetPresentValue
Netpresentvalue(NPV)isthepresentvalueofthebenefitsminustheoriginalcost
oftheinvestment.Inthisway,differentinvestments,anddifferentbenefit
patternscanbecomparedintermsofpresentdayvalue.ThehighertheNPV,the
bettertheinvestment.
Theformulatocalculatenetpresentvalueis:
NetPresentValue=PresentValueCostofInvestment
Netpresentvalueisexpressedincurrency.ThehighertheNPV,thebetterthe
investment.
InternalRateofReturn
Theinternalrateofreturn(IRR)istheinterestrateatwhichaninvestmentbreaks
even,andisusuallyusedtodetermineifthechange,solutionorsolution
approachisworthinvestingin.ThebusinessanalystmaycomparetheIRRofone
solutionorsolutionapproachtoaminimumthresholdthattheorganization
expectstoearnfromitsinvestments(calledthehurdlerate).Ifthechange
initiativesIRRislessthanthehurdlerate,thentheinvestmentshouldnotbe
made.
Oncetheplannedinvestmentpassesthehurdlerate,itcouldbecomparedto
otherinvestmentsofthesameduration.TheinvestmentwiththehigherIRR
wouldbethebetterinvestment.Forexample,thebusinessanalystcouldcompare
twosolutionapproachesoverthesametimeperiod,andwouldrecommendthe
onewiththehigherIRR.
TheIRRisinternaltooneorganizationsinceitdoesnotconsiderexternal
influencerssuchasinflationorfluctuatinginterestratesorachangingbusiness
context.
TheIRRcalculationisbasedontheinterestrateatwhichtheNPVis0:
NetPresentValue=(1xOriginalInvestment)+Sumof(netbenefitfor
thatperiod/(1+IRR)forallperiods)=0.
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Techniques
FocusGroups
PaybackPeriod
Thepaybackperiodprovidesaprojectiononthetimeperiodrequiredtogenerate
enoughbenefitstorecoverthecostofthechange,irrespectiveofthediscount
rate.Oncethepaybackperiodhaspassedtheinitiativewouldnormallyshowa
netfinancialbenefittotheorganization,unlessoperatingcostsrise.Thereisno
standardformulaforcalculatingthepaybackperiod.Thetimeperiodisusually
expressedinyearsoryearsandmonths.
10.20.4
UsageConsiderations
.1 Strengths
Assumptionsandestimatesbuiltintothebenefitsandcosts,andintothe
financialcalculations,areclearlystatedsothattheymaybechallengedor
approved.
Itreducestheuncertaintyofachangeorsolutionbyrequiringtheidentification
andanalysisoffactorsthatwillinfluencetheinvestment.
Ifthecontext,businessneed,orstakeholderneedschangeduringachange
initiative,itallowsthebusinessanalysttoobjectivelyreevaluatethe
recommendedsolution.
.2 Limitation
Somecostsandbenefitsaredifficulttoquantifyfinancially.
Becausefinancialanalysisisforwardlooking,therewillalwaysbesome
uncertaintyaboutexpectedcostsandbenefits
Positivefinancialnumbersmaygiveafalsesenseofsecuritytheymaynot
providealltheinformationrequiredtounderstandaninitiative.
10.21
10.21.1
FocusGroups
Purpose
Afocusgroupisameanstoelicitideasandopinionsaboutaspecificproduct,
service,oropportunityinaninteractivegroupenvironment.Theparticipants,
guidedbyamoderator,sharetheirimpressions,preferences,andneeds.
10.21.2
Description
Afocusgroupiscomposedofprequalifiedparticipantswhoseobjectiveisto
discussandcommentonatopicwithinacontext.Theparticipantssharetheir
perspectivesandattitudesaboutatopicanddiscusstheminagroupsetting.This
279
Financialanalysisallowsexecutivedecisionmakerstoobjectivelycomparevery
differentinvestmentsfromdifferentperspectives.
FocusGroups
Techniques
sometimesleadsparticipantstoreevaluatetheirownperspectivesinlightof
others'experiences.Atrainedmoderatormanagesthepreparationofthesession,
assistsinselectingparticipants,andfacilitatesthesession.Ifthemoderatorisnot
thebusinessanalyst,he/shemayworkwiththebusinessanalysttoanalyzethe
resultsandproducefindingsthatarereportedtothestakeholders.Observersmay
bepresentduringthefocusgroupsession,butdonottypicallyparticipate.
Afocusgroupcanbeutilizedatvariouspointsinaninitiativetocapture
informationorideasinaninteractivemanner.Ifthegroupstopicisaproduct
underdevelopment,thegroupsideasareanalyzedinrelationshiptothestated
requirements.Thismayresultinupdatingexistingrequirementsoruncovering
newrequirements.Ifthetopicisacompletedproductthatisreadytobe
launched,thegroupsreportcouldinfluencehowtopositiontheproductinthe
market.Ifthetopicisaproductinproduction,thegroupsreportmayprovide
directionontherevisionstothenextreleaseofrequirements.Afocusgroupmay
alsoserveasameanstoassesscustomersatisfactionwithaproductorservice.
Afocusgroupisaformofqualitativeresearch.Theactivitiesaresimilartothatof
abrainstormingsession,exceptthatafocusgroupismorestructuredandfocused
ontheparticipantsperspectivesconcerningaspecifictopic.Itisnotainterview
sessionconductedasagrouprather,itisadiscussionduringwhichfeedbackis
collectedonaspecificsubject.Thesessionresultsareusuallyanalyzedand
reportedasthemesandperspectivesratherthannumericalfindings.
10.21.3
Elements
.1 FocusGroupObjective
Aclearandspecificobjectiveestablishesadefinedpurposeforthefocusgroup.
Questionsareformulatedanddiscussionsarefacilitatedwiththeintentof
meetingtheobjective.
.2 FocusGroupPlan
Thefocusgroupplanensuresthatallstakeholdersareawareofthepurposeof
thefocusgroupandagreeontheexpectedoutcomes,andthatthesessionmeets
theobjectives.
Thefocusgroupplandefinesactivitiesthatinclude:
Purpose:creatingquestionsthatanswertheobjective,identifyingkey
topicstobediscussed,andrecommendingwhetherornotdiscussion
guideswillbeused.
Location:identifyingwhetherthesessionwillbeinpersonoronline,as
wellaswhichphysicalorvirtualmeetingplacewillbeused.
Logistics:identifyingthesizeandsetupoftheroom,otherfacilitiesthat
mayberequired,publictransportationoptions,andthetimeofthesession.
Participants:identifyingthedemographicsofthoseactivelyengagedin
thediscussion,ifanyobserversarerequired,andwhothemoderatorsand
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Techniques
FocusGroups
recorderswillbe.Considerationmayalsobegiventoincentivesfor
participants.
Budget:outliningthecostsofthesessionandensuringthatresourcesare
allocatedappropriately.
Timelines:establishingtheperiodoftimewhenthesessionorsessionswill
beheld,aswellaswhenanyreportsoranalysisresultingfromthefocus
groupareexpected.
Outcomes:identifyinghowtheresultswillbeanalyzedandcommunicated
andtheintendedactionsbasedontheresults.
.3 Participants
Thedemographicsoftheparticipantsaredeterminedbasedontheobjectiveof
thefocusgroup.
.4 DiscussionGuide
Adiscussionguideprovidesthemoderatorwithapreparedscriptofspecific
questionsandtopicsfordiscussionthatmeettheobjectiveofthesession.
Discussionguidesalsoincludethestructureorframeworkthatthemoderatorwill
follow.Thisincludesobtaininggeneralfeedbackandcommentsbeforedelving
intospecifics.Discussionguidesalsoremindthemoderatortowelcomeand
introducetheparticipants,aswellastoexplaintheobjectivesofthesession,how
thesessionwillbeconducted,andhowthefeedbackwillbeused.
.5 AssignaModeratorandRecorder
Themoderatorisbothskilledatkeepingthesessionontrackandknowledgeable
abouttheinitiative.Moderatorsareabletoengageallparticipantsandare
adaptableandflexible.Themoderatorisanunbiasedrepresentativeofthe
feedbackprocess.
Therecordertakesnotestoensuretheparticipantsopinionsareaccurately
recorded.
Thebusinessanalystcanfilltheroleofeitherthemoderatorortherecorder.The
moderatorandrecorderarenotconsideredactiveparticipantsinthefocusgroup
sessionanddonotsubmitfeedback.
.6 ConducttheFocusGroup
Themoderatorguidesthegroupsdiscussion,followsapreparedscriptofspecific
issues,andensuresthattheobjectivesaremet.However,thegroupdiscussion
281
Asuccessfulfocusgroupsessionhasparticipantswhoarewillingtobothoffer
theirinsightsandperspectivesonaspecifictopicandlistentotheopinionsofthe
otherparticipants.Afocusgrouptypicallyhas6to12attendees.Itmaybe
necessarytoinviteadditionalindividualstocompensateforthosewhodonot
attendthesessionduetoschedulingconflicts,emergencies,orotherreasons.If
manyparticipantsareneeded,itmaybenecessarytorunmorethanonefocus
group.Oftenparticipantsofafocusgrouparepaidfortheirtime.
FocusGroups
Techniques
shouldappearfreeflowingandrelativelyunstructuredtotheparticipants.A
sessionistypicallyonetotwohoursinlength.Arecordercapturesthegroups
comments.
.7 AftertheFocusGroup
Theresultsofthefocusgrouparetranscribedassoonaspossibleafterthesession
hasended.Thebusinessanalystanalyzesanddocumentstheparticipants
agreementsanddisagreements,looksfortrendsintheresponses,andcreatesa
reportthatsummarizestheresults.
10.21.4
UsageConsiderations
.1 Strengths
Theabilitytoelicitdatafromagroupofpeopleinasinglesessionsavesboth
timeandcostsascomparedtoconductingindividualinterviewswiththesame
numberofpeople.
Effectiveforlearningpeople'sattitudes,experiences,anddesires.
Activediscussionandtheabilitytoaskothersquestionscreatesanenvironment
inwhichparticipantscanconsidertheirpersonalviewinrelationtoother
perspectives.
Anonlinefocusgroupisusefulwhentravelbudgetsarelimitedand
participantsaredistributedgeographically.
Onlinefocusgroupsessionscanberecordedeasilyforplayback.
.2 Limitations
Inagroupsetting,participantsmaybeconcernedaboutissuesoftrustormay
beunwillingtodiscusssensitiveorpersonaltopics.
Datacollectedaboutwhatpeoplesaymaynotbeconsistentwithhowpeople
actuallybehave.
Ifthegroupistoohomogeneoustheirresponsesmaynotrepresentthe
completesetofrequirements.
Askilledmoderatorisneededtomanagegroupinteractionsanddiscussions.
Itmaybedifficulttoschedulethegroupforthesamedateandtime.
Onlinefocusgroupslimitinteractionbetweenparticipants.
Itisdifficultforthemoderatorofanonlinefocusgrouptodetermineattitudes
withoutbeingabletoreadbodylanguage.
Onevocalparticipantcouldswaytheresultsofthefocusgroup.
282
Techniques
FunctionalDecomposition
10.22
10.22.1
Purpose
Functionaldecompositionhelpsmanagecomplexityandreduceuncertaintyby
breakingdownprocesses,systems,functionalareas,ordeliverablesintotheir
simplerconstituentpartsandallowingeachparttobeanalyzedindependently.
10.22.2
Description
Thedepthofdecompositionmayvarydependingonthenatureofcomponents
andobjectives.Functionaldecompositionassumesthatsubcomponentscanand
docompletelydescribetheirparentcomponents.Anysubcomponentcanhave
onlyoneparentcomponentwhendevelopingthefunctionalhierarchy.
Thediagrambelowprovidesanexampleofhowafunctioncanbebrokendown
tomanageable,measurablesubcomponents.
Figure10.22.1:FunctionalDecompositionDiagram
Function
Subfunction
1
Process1.1
Process1.2
Subfunction
2
Process1.3
Process2.1
Activity1.1.1 Activity1.2.1
Activity1.1.2
Process2.2
Process2.1.1
Activity1.2.2
Process2.2.2
Activity1.1.3
283
Process2.3
Process2.4
Functionaldecompositionapproachestheanalysisofcomplexsystemsand
conceptsbyconsideringthemasasetofcollaboratingorrelatedfunctions,
effects,andcomponents.Thisisolationhelpsreducethecomplexityofthe
analysis.Breakingdownlargercomponentsintosubcomponentsallowsscaling,
tracking,andmeasuringworkeffortforeachofthem.Italsofacilitatesevaluation
ofthesuccessofeachsubcomponentasitrelatestootherlargerorsmaller
components.
10.22.3
Techniques
Elements
.1 DecompositionObjectives
Objectivesoffunctionaldecompositionbothdrivetheprocessofdecomposition
anddefinewhattodecompose,howtodecompose,andhowdeeplyto
decompose.
Theobjectivesmayinclude:
MeasuringandManaging:toisolatespecificmanageablefactorsthat
contributetotheoverallresult,ortoidentifyimportantmetricsand
indicators.
Designing:tosimplifyadesignproblembyreducingandisolatingthe
objectofdesign.
Analyzing:tostudytheessentialpropertiesandbehavioursofanartifact
orphenomenoninisolationfromitsencompassingenvironment.
EstimatingandForecasting:todecreasethelevelofuncertaintyby
breakingdownacomplexvalueintoitsconstituentfactors.
Reusing:tocreateareusablesolutionbuildingblockthatservesaspecific
functionforvariousprocesses.
Optimization:todetectoralleviateabottleneck,reducefunctioncost,or
improveprocessquality.
Substitution:tomakeaspecificimplementationofasolutioncomponent
orafunctioneasilyreplaceablewithoutimpactingthesystemasawhole.
Encapsulation:combiningelementstomakeoneelement.
.2 SubjectsofDecomposition
Functionaldecompositionappliestoawidevarietyofversatilesubjects,suchas:
BusinessOutcomes:forexample,income,profit,expenses,volumeof
service,orvolumeofproduction.
WorktobeDone:thisdecomposition(knownasaWorkBreakdown
StructureorWBS)breaksendeavoursintophases,milestones,work
activities,tasks,workitems,anddeliverables.
BusinessProcess:toidentifyitsconstituentpartsforthepurposesof
measuring,managing,optimizing,orreusingtheprocessorits
components.
Function:toenableitsoptimizationorimplementation.
BusinessUnit:toenableitsreverseengineeringanddesign.
SolutionComponent:toenableitsdesign,implementation,orchange.
Activity:toenableitsimplementation,modification,optimization,
measurement,andestimation.
ProductsandServices:todesign,implement,andimprovethem.
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Techniques
Decisions:forenabling,improving,orsupportingthembyidentifyingtheir
inputs,underlyingmodels,dependencies,andoutcomes.
.3 LevelofDecomposition
Theappropriateleveloffunctionaldecompositiondefineswhere,why,andwhen
tostopdecomposingthesubjectinordertomeettheanalysisobjectives.The
processoffunctionaldecompositioncontinuesuntilthebusinessanalysthasjust
enoughunderstandinganddetailtoproceedandcanapplytheresultsof
decompositionintheexecutionofothertasks.
.4 RepresentationofDecompositionResults
Treediagrams:representhierarchicalpartitioningofwork,activities,or
deliverables.
Nesteddiagrams:illustratehierarchicalparttowholerelationships
betweendecompositionresults.
UseCasediagrams:representdecompositionofahigherlevelusecase.
Flowdiagrams:depictresultsofaprocessorfunctiondecomposition.
StateTransitiondiagrams:explainthebehaviourofanobjectinsideits
compositestate.
CauseEffectdiagrams:elaborateonevents,conditions,activities,and
effectsinvolvedinproducingacomplexoutcomeorphenomenon.
DecisionTrees:detailthestructureofacomplexdecisionanditspotential
outcomes.
MindMaps:representinformationincategories.
Componentdiagram:depictshowcomponentsarewiredtogetherto
formlargercomponentsand/orsoftwaresystems.
DecisionModelandNotation:isusedtoanalyzethebusinesslogicto
ensurethatithasinferentialandbusinessintegrity.
10.22.4
UsageConsiderations
.1 Strengths
Makescomplexendeavourspossiblebybreakingdowncomplexproblemsinto
feasibleparts.
285
Representationsoffunctionaldecompositionresultsallowbusinessanalyststo
bothvalidateandverifytheresultsandtousethemtosolveothertasks.The
resultscanbeexpressedasacombinationofplaintextualdescriptions,
hierarchicallists,descriptionsusingspecialformalnotations(forexample,
mathematicalformulas,BusinessProcessExecutionLanguage,orprogramming
languages),andvisualdiagrams.Awidevarietyofdiagrammingtechniquescan
beusedtorepresentfunctionaldecomposition,including:
Glossary
Techniques
Providesastructuredapproachtobuildingasharedunderstandingofcomplex
mattersamongadiversegroupofstakeholders.
Simplifiesmeasurementandestimationoftheamountofworkinvolvedin
pursuingacourseofaction,definingscopeofwork,anddefiningprocess
metricsandindicators.
.2 Limitations
Missingorincorrectinformationatthetimedecompositionisperformedmay
latercauseaneedtorevisetheresultsofdecompositionpartiallyorentirely.
Manysystemscannotbefullyrepresentedbysimplehierarchicalrelationships
betweencomponentsbecausetheinteractionsbetweencomponentscause
emergentcharacteristicsandbehaviours.
Everycomplexsubjectallowsmultiplealternativedecompositions.Exploringall
alternativescanbeachallengingandtimeconsumingtask,whilestickingwith
asinglealternativemaydisregardimportantopportunitiesandresultinasub
optimalsolution.
Performingfunctionaldecompositionmayinvolvedeepknowledgeofthe
subjectandextensivecollaborationwithdiversestakeholders.
10.23
10.23.1
Glossary
Purpose
Aglossarydefineskeytermsrelevanttoabusinessdomain.
10.23.2
Description
Glossariesareusedtoprovideacommonunderstandingoftermsthatareusedby
stakeholders.Atermmayhavedifferentmeaningsforanytwopeople.Alistof
termsandestablisheddefinitionsprovidesacommonlanguagethatcanbeused
tocommunicateandexchangeideas.Aglossaryisorganizedandcontinuously
accessibletoallstakeholders.
10.23.3
Elements
Aglossaryisalistoftermsinaparticulardomainwithdefinitionsforthoseterms
andtheircommonsynonyms.Organizationsorindustriesmayuseaterm
differentlythanhowitisgenerallyunderstood.
Atermisincludedintheglossarywhen:
thetermisuniquetoadomain,
therearemultipledefinitionsfortheterm,
thedefinitionimpliedisoutsideoftheterm'scommonuse,or
thereisareasonablechanceofmisunderstanding.
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Techniques
InterfaceAnalysis
Thecreationofaglossaryshouldtakeplaceintheearlystagesofaprojectin
ordertofacilitateknowledgetransferandunderstanding.Apointofcontact
responsibleforthemaintenanceanddistributionoftheglossarythroughoutthe
initiativeisidentified.Organizationsthatmaintainglossariesoftenfindadditional
usesforthisinformationandareabletoleveragetheglossaryforfuture
initiatives.
Considerthefollowingwhendevelopingaglossary:
definitionsshouldbeclear,concise,andbrief,
acronymsshouldbespelledoutifusedinadefinition,
stakeholdersshouldhaveeasyandreliableaccesstoglossaries,and
theeditingofaglossaryshouldbelimitedtospecificstakeholders.
UsageConsiderations
.1 Strengths
Aglossarypromotescommonunderstandingofthebusinessdomainand
bettercommunicationamongallstakeholders.
Capturingthedefinitionsaspartofanenterprise'sdocumentationprovidesa
singlereferenceandencouragesconsistency.
Simplifiesthewritingandmaintenanceofotherbusinessanalysisinformation
includingbutnotlimitedtorequirements,businessrules,andchangestrategy.
.2 Limitations
Aglossaryrequiresanownertoperformtimelymaintenance,otherwiseit
becomesoutdatedandmaybeignored.
Itmaybechallengingfordifferentstakeholderstoagreeonasingledefinition
foraterm.
10.24
10.24.1
InterfaceAnalysis
Purpose
Interfaceanalysisisusedtoidentifywhere,what,why,when,how,andforwhom
informationisexchangedbetweensolutioncomponentsoracrosssolution
boundaries.
10.24.2
Description
Aninterfaceisaconnectionbetweentwocomponentsorsolutions.Most
solutionsrequireoneormoreinterfacestoexchangeinformationwithother
solutioncomponents,organizationalunits,orbusinessprocesses.
287
10.23.4
InterfaceAnalysis
Techniques
Interfacetypesinclude:
userinterfaces,includinghumanusersdirectlyinteractingwiththesolution
withintheorganization,
peopleexternaltothesolutionsuchasstakeholdersorregulators,
businessprocesses,
datainterfacesbetweensystems,
applicationprogramminginterfaces(APIs),and
anyhardwaredevices.
Interfaceanalysisdefinesandclarifiesthefollowing:
whowillusetheinterface,
whatinformationisbeingexchangedthroughtheinterface,aswellasthe
volumeofthedata,
wheninformationwillbeexchangedandhowfrequently,
wheretheinformationexchangewilloccur,
whytheinterfaceisneeded,and
howtheinterfaceisorshouldbeimplemented.
Theearlyidentificationofinterfacesallowsthebusinessanalysttoprovidethe
contextforelicitingmoredetailedstakeholderrequirements,thusdetermining
adequatefunctionalcoverageofthesolutiontomeetstakeholderneeds.Early
identificationofinterfacesrevealswhichstakeholderswillbenefitfromor
dependonthevariouscomponentsofthesolution,whichcanhelpthebusiness
analystdeterminewhichstakeholdersshouldbepresentforotherelicitation
techniques.
Figure10.24.1:InterfaceAnalysis
Interface
Input
Validation
or
Transformation
Solution
Message
10.24.3
Output
Solution
Message
Elements
.1 PreparingforIdentification
Thebusinessanalystcanleverageothertechniques,suchasdocumentanalysis,
observation,scopemodelling,andinterviews,inordertounderstandwhich
interfacesneedtobeidentified.Acontextdiagramcanrevealhighlevel
288
Techniques
InterfaceAnalysis
interfacesbetweenhumanactors,organizationalunits,businessprocesses,or
othersolutioncomponents.Theresultsofthisanalysiscanrevealhowfrequently
anyexistinginterfacesarebeingusedandanyproblemswiththemthatmay
strengthenthecaseforchange.Theresultsmayalsohelpidentifyanykeyissues
thatneedtoberesolvedinorderforaninterfacesolutiontobecreated.
.2 ConductInterfaceIdentification
Businessanalystsidentifywhatinterfacesareneededinthefuturestateforeach
stakeholderorsystemthatinteractswiththesystem.Therelationshipbetween
stakeholdersandinterfacescanbemanytomanyor,insomecases,onetoone.
Someinterfacesmaybelessobviousorlessfrequentsuchasaninterfaceused
forregulatoryfunctionsorauditing,orforemployeetraining.Identified
interfacescanincludeinterfacesfromsolutionsotherthantheoperational
solution.
describethefunctionoftheinterface,
assessthefrequencyoftheinterfaceusage,
evaluatewhichtypeofinterfacemaybeappropriate,and
elicitinitialdetailsabouttheinterface.
.3 DefineInterfaces
Requirementsforaninterfaceareprimarilyfocusedondescribingtheinputsto
andoutputsfromthatinterface,anyvalidationrulesthatgovernthoseinputsand
outputs,andeventsthatmighttriggerinteractions.Theremaybealargenumber
ofpossibleinteractiontypes,eachofwhichneedstobespecified.Interactions
maybetriggeredbythetypicaloralternateflowofinputsandoutputsinthe
businesssolution,orbyexceptionaleventssuchasfailures.
Businessanalystsconsiderwhowillusetheinterface,whatinformationispassed
overtheinterface,andwhenandwheretheinterfacetakesplace.Theinterface
definesuserworkflowbetweensystems,userrolesandprivileges,andany
managementobjectivesfortheinterface.Interfacedefinitionisdependentupon
usabilityguidelines,suchasaccessibilityrequirementsorgeneralworkflow
requirements.
Inordertoidentifyanymajordesignissues,interfacesbetweensolutionor
processcomponentsandpeoplerequiredetailedanalysisoftheinterfacetobe
conductedupfront.Interfacedefinitionincludes:
thenameoftheinterface,
thecoverageorspanoftheinterface,
theexchangemethodbetweenthetwoentities,
themessageformat,and
theexchangefrequency.
289
Foreachinterface,businessanalysts:
Interviews
10.24.4
Techniques
UsageConsiderations
.1 Strengths
Byengagingininterfaceanalysisearlyon,increasedfunctionalcoverageis
provided.
Clearspecificationoftheinterfacesprovidesastructuredmeansofallocating
requirements,businessrules,andconstraintstothesolution.
Duetoitsbroadapplication,itavoidsoveranalysisoffinedetail.
.2 Limitations
Doesnotprovideinsightintootheraspectsofthesolutionsincetheanalysis
doesnotassesstheinternalcomponents.
10.25
10.25.1
Interviews
Purpose
Aninterviewisasystematicapproachdesignedtoelicitbusinessanalysis
informationfromapersonorgroupofpeoplebytalkingtotheinterviewee(s),
askingrelevantquestions,anddocumentingtheresponses.Theinterviewcan
alsobeusedforestablishingrelationshipsandbuildingtrustbetweenbusiness
analystsandstakeholdersinordertoincreasestakeholderinvolvementorbuild
supportforaproposedsolution.
10.25.2
Description
Theinterviewisacommontechniqueforelicitingrequirements.Itinvolvesdirect
communicationwithindividualsorgroupsofpeoplewhoarepartofaninitiative.
Inaninterview,theinterviewerdirectsquestionstostakeholdersinorderto
obtaininformation.Oneononeinterviewsarethemostcommon.Inagroup
interview(withmorethanoneintervieweeinattendance),theintervieweris
carefultoelicitresponsesfromeachparticipant.
Therearetwobasictypesofinterviewsusedtoelicitbusinessanalysis
information:
StructuredInterview:inwhichtheinterviewerhasapredefinedsetof
questions.
UnstructuredInterview:inwhichtheinterviewerdoesnothavea
predeterminedformatororderofquestions.Questionsmayvarybasedon
intervieweeresponsesandinteractions.
Inpractice,businessanalystsmayuseacombinationofthetwotypesbyadding,
dropping,andvaryingtheorderofquestionsasneeded.
290
Techniques
Interviews
Successfulinterviewingdependsonfactorssuchas:
levelofunderstandingofthedomainbytheinterviewer,
experienceoftheinterviewerinconductinginterviews,
skilloftheinterviewerindocumentingdiscussions,
readinessoftheintervieweetoprovidetherelevantinformationandthe
interviewertoconducttheinterview,
degreeofclarityintheintervieweesmindaboutthegoaloftheinterview,
and
rapportoftheinterviewerwiththeinterviewee.
10.25.3
Elements
Whenplanninginterviews,businessanalystsconsider:
theoverallpurposeofperformingasetofinterviews,basedonabusiness
need,and
theindividualgoalsforeachinterview,basedonwhattheintervieweecan
provide.
Thegoalsaretobeclearlyexpressedandcommunicatedtoeachinterviewee.
.2 PotentialInterviewees
Potentialintervieweesareidentifiedwiththehelpoftheprojectmanager,project
sponsors,andotherstakeholders,basedonthegoalsfortheinterview.
.3 InterviewQuestions
Interviewquestionsaredesignedaccordingtotheinterviewgoals,suchas:
collectingdata,
researchingthestakeholdersviewofthechangeorproposedsolution,
developingaproposedsolution,or
buildingrapportwithorsupportfortheproposedsolutionfromthe
interviewee.
Openendedquestionsareusedtoelicitadialogueorseriesofstepsandcannot
beansweredinayesornofashion.Openendedquestionsareagoodtoolto
allowtheintervieweetoprovideinformationofwhichtheinterviewermaybe
unaware.
Closedquestionsareusedtoelicitasingleresponsesuchasyes,no,oraspecific
number.Closedquestionscanbeusedtoclarifyorconfirmapreviousanswer.
Theinterviewquestionsareoftenorganizedbasedonpriorityandsignificance.
Examplesofquestionorderincludegeneraltospecific,starttofinish,anddetailed
tosummary.Questionscanalsobeorganizedbasedonfactorssuchasthe
interviewee'slevelofknowledgeandthesubjectoftheinterview.
291
.1 InterviewGoal
Interviews
Techniques
Interviewquestionsmaybecustomizedwhenthepurposeoftheinterviewisto
gatherinformationthatisuniquetotheperspectiveoftheinterviewee.
Standardizedquestionsmaybeusedwhentheinterviewresultswillbe
summarizedandanalyzed,suchaswheninterviewresultswillbetalliedusinga
checksheet.
Interviewquestionscanbecompiledinaninterviewguide,whichincludesthe
interviewquestions,proposedtiming,andfollowupquestions.Thiswillallbe
basedontheinterviewtype,accordingtotheinterviewgoals,modeof
communication,andduration.Theinterviewguidecanbeadocumentwherethe
intervieweesresponsesareeasilyrecorded.Theinterviewguideshouldidentify
whichinterviewquestionsmaybeomittedbasedupontimeconstraints.
.4 InterviewLogistics
Ensuringasuccessfulinterviewrequiresattentiontologisticsthatinclude:
Thelocationfortheinterview.Theinterviewisadaptedtothescheduleand
availabilityoftheintervieweeandthemodeofcommunication(inperson,
phone,oronlineconferencing).
Whetherornottorecordtheinterview,whichmayrequiretheuseofa
scribe.
Whetherornottosendthequestionstotheintervieweesinadvance.
Sendingquestionsinadvanceisadvisableonlywhentheintervieweeneeds
tocollectinformationtopreparefortheinterview.
Whethertheinterviewresultswillbeconfidentialand,ifso,howtheresults
willbesummarizedtoavoididentifyingindividualinterviewees.
.5 InterviewFlow
Openingtheinterviewincludes:
describingthepurposeoftheinterview,includingwhytheinterviewees'
timeisneeded,
confirmingtheinterviewees'rolesandaddressinganyinitialconcernsraised
bytheinterviewees,and
explaininghowinformationfromtheinterviewwillberecordedandshared
withtheintervieweesandotherstakeholdersduringtheproject.
Duringtheinterview,theinterviewer:
maintainsfocusontheestablishedgoalsandpredefinedquestions,and
adaptsbasedupontheinformationprovidedandnonverbal
communicationfromtheinterviewees,
considersboththewillingnessoftheintervieweestoparticipateinthe
interviewandtoprovidetherequiredinformation,
considersthatseveralmeetingsmightberequiredtoconducttheentire
interview,
managesconcernsraisedbytheintervieweesbyaddressingthemduring
theinterviewordocumentingthemforfollowup,
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Techniques
Interviews
practicesactivelisteningtoconfirmwhattheinterviewerhassaid,and
takeswrittennotesorrecordstheinterviewasappropriate.
Closingtheinterviewincludes:
askingtheintervieweesforareasthatmayhavebeenoverlookedinthe
session,
providingcontactinformationfortheintervieweestofollowupwith
additionalinformationafterthemeetingasneeded,
summarizingthesession,
outliningtheprocessforhowtheinterviewresultswillbeused,and
thankingtheintervieweesfortheirtime.
Itisimportantfortheinterviewertoorganizetheinformationandconfirmresults
withtheintervieweesassoonaspossibleaftertheinterview.Sharingthe
informationthathasbeenlearnedallowstheintervieweestopointoutany
missedorincorrectlyrecordeditems.
10.25.4
UsageConsiderations
.1 Strengths
Encouragesparticipationbyandestablishesrapportwithstakeholders.
Simple,directtechniquethatcanbeusedinavarietyofsituations.
Allowstheinterviewerandparticipanttohavefulldiscussionsandexplanations
ofthequestionsandanswers.
Enablesobservationsofnonverbalbehaviour.
Theinterviewercanaskfollowupandprobingquestionstoconfirmtheirown
understanding.
Maintainsfocusthroughtheuseofclearobjectivesfortheinterviewthatare
agreeduponbyallparticipantsandcanbemetinthetimeallotted.
Allowsintervieweestoexpressopinionsinprivatethattheymaybereluctantto
expressinpublic,especiallywheninterviewresultsarekeptconfidential.
.2 Limitations
Significanttimeisrequiredtoplanforandconductinterviews.
Requiresconsiderablecommitmentandinvolvementoftheparticipants.
Trainingisrequiredtoconducteffectiveinterviews.
Basedonthelevelofclarityprovidedduringtheinterview,theresulting
documentationmaybesubjecttotheinterviewer'sinterpretation.
Thereisariskofunintentionallyleadingtheinterviewee.
293
.6 InterviewFollowUp
ItemTracking
10.26
10.26.1
Techniques
ItemTracking
Purpose
Itemtrackingisusedtocaptureandassignresponsibilityforissuesand
stakeholderconcernsthatposeanimpacttothesolution.
10.26.2
Description
Itemtrackingisanorganizedapproachusedbybusinessanalyststoaddress
stakeholderconcerns.Stakeholdersmayidentifysuchitemtypesasactions,
assumptions,constraints,dependencies,defects,enhancements,andissues.
Whenastakeholderconcernisfirstraised,itisassessedtodetermineifitisviable.
Ifviable,theconcernisclassifiedasaspecificitemtypesothatitcanbebetter
trackedandcontrolledbyaprocessthatworkstowardstheitemsclosure.During
itslifecycle,anitemisassignedtooneormorestakeholderswhoareresponsible
foritsresolution.
Itemtrackingtrackstheitemfromtheinitialrecordingoftheconcernandits
degreeofimpacttoitsagreeduponclosure.Theitemtrackingrecordmaybe
sharedwithstakeholderstoensuretransparencyandvisibilityintothestatusand
progressofitemsintherecord.
10.26.3
Elements
.1 ItemRecord
Eachrecordeditemmaycontainalloranyofthefollowingattributesforitem
tracking.Theseitemsmayberecordedusingvarioussoftwareapplicationsor
manuallycataloguedforsharingbetweenanagreedsetofstakeholders.
ItemIdentifier:auniqueidentifierthatdistinguishesoneitemfrom
another.
Summary:abriefdescriptionoftheitem.
Category:agroupingofitemswithsimilarproperties.
Type:thekindofitemraised.
DateIdentified:thedatetheitemwasraisedasaconcern.
IdentifiedBy:thepersonwhoinitiallyraisedtheconcern.
Impact:thepossibleconsequencesiftheitemisnotresolvedbythe
resolutionduedate.Impactcanbeassessedinrelationtotheinitiatives
time,cost,scope,orquality.
Priority:theimportanceofthisitemtotheimpactedstakeholders.
ResolutionDate:thedatebywhichtheitemmustberesolved(orclosed).
Owner:thestakeholderassignedtomanagetheitemtoitsclosure.
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Techniques
ItemTracking
Resolver:thestakeholderassignedtoresolvetheitem.
AgreedStrategy:agreeduponstrategyfortheitem.Examplesinclude
accept,pursue,ignore,mitigate,andavoid.
Status:thecurrentstatusoftheitemwithinitslifecycle.Examplesinclude
open,assigned,resolved,andcancelled.
ResolutionUpdates:arunninglogofdetailsabouthowtheitems
resolutionisproceedingtowardsclosure,aswellasapprovalofits
completion.
EscalationMatrix:alevelofescalationincasetheitemisnotresolvedby
thegivenduedate.
.2 ItemManagement
.3 Metrics
Allstakeholdersbenefitfromthedetailedinformationthatismaintainedabout
anyitemanditsprogress.Theseitemscanbelookedatindividuallyforresolution
orevenusedtodefinekeyperformanceindicatorstailoredtotheitemtracking
process.
Byreviewingthisoutput,stakeholderscandeterminehowwell:
itemsarebeingresolvedbytheproperresources,
theinitiativeisprogressing,and
theitemtrackingprocessisbeingutilized.
10.26.4
UsageConsiderations
.1 Strengths
Ensuresconcernsaroundstakeholderrequirementsarecaptured,tracked,and
resolvedtothestakeholderssatisfaction.
Allowsstakeholderstoranktheimportanceofoutstandingitems.
.2 Limitations
Ifnotcareful,thecopiousrecordingofdataaboutitemsmayoutweighany
benefitsrealized.
Itmayusetimethatcouldbebetterspentonothereffortsandstakeholders
couldbecomemiredindetailsandstatistics.
295
Eachitemsresolutionisundertakenasprescribedbystakeholderneedsand
accordingtoanyorganizationalprocessstandards.Insomecases,oneitemmay
causeanotheritemtoberecordedandtracked.Inthesesituations,close
attentionisneededsothatitemresolutioneffortsarenotduplicatedandare
progressingincoordination.Eachitemmustbetrackedtoitsclosureor
resolution.
LessonsLearned
10.27
10.27.1
Techniques
LessonsLearned
Purpose
Thepurposeofthelessonslearnedprocessistocompileanddocument
successes,opportunitiesforimprovement,failures,andrecommendationsfor
improvingtheperformanceoffutureprojectsorprojectphases.
10.27.2
Description
Alessonslearnedsession(alsoknownasaretrospective)helpsidentifyeither
changestobusinessanalysisprocessesanddeliverablesorsuccessesthatcanbe
incorporatedintofuturework.Thesetechniquescanalsobebeneficialatthe
closeofanymilestonewithintheeffort.
Lessonslearnedsessionscanincludeanyformatorvenuethatisacceptabletothe
keystakeholdersandcanbeeitherformalfacilitatedmeetingswithsetagendas
andmeetingrolesorinformalworkingsessions.Iftherearenoteworthy
successes,acelebrationmaybeincludedinalessonslearnedsession.
10.27.3
Elements
Sessionscanincludeareviewof:
businessanalysisactivitiesordeliverables,
thefinalsolution,service,orproduct,
automationortechnologythatwasintroducedoreliminated,
impacttoorganizationalprocesses,
performanceexpectationsandresults,
positiveornegativevariances,
rootcausesimpactingperformanceresults,and
recommendationsforbehaviouralapproaches.
10.27.4
UsageConsiderations
.1 Strengths
Usefulinidentifyingopportunitiesorareasofimprovement.
Assistsinbuildingteammoraleafteradifficultperiod.
Reinforcespositiveexperiencesandsuccesses.
Reducesrisksforfutureactions.
Providestangiblevalueormetricsasaresultoftheeffort.
Recognizesstrengthsorshortcomingswiththeprojectstructure,methodology,
ortoolsthatwereused.
296
Techniques
MetricsandKeyPerformanceIndicators(KPIs)
.2 Limitations
Honestdiscussionmaynotoccurifparticipantstrytoassignblameduringthese
sessions.
Participantsmaybereluctanttodocumentanddiscussproblems.
Proactivefacilitationmayberequiredtoensurethatthediscussionsremain
focusedonsolutionsandimprovementopportunities.
10.28
10.28.1
Purpose
10.28.2
Description
Ametricisaquantifiablelevelofanindicatorthatanorganizationusesto
measureprogress.Anindicatoridentifiesaspecificnumericalmeasurementthat
representsthedegreeofprogresstowardachievingagoal,objective,output,
activity,orfurtherinput.Akeyperformanceindicator(KPI)isonethatmeasures
progresstowardsastrategicgoalorobjective.Reportingistheprocessof
informingstakeholdersofmetricsorindicatorsinspecifiedformatsandat
specifiedintervals.
Metricsandreportingarekeycomponentsofmonitoringandevaluation.
Monitoringisacontinuousprocessofdatacollectionusedtodeterminehowwell
asolutionhasbeenimplementedascomparedtotheexpectedresults.Evaluation
isthesystematicandobjectiveassessmentofasolutionbothtodetermineits
statusandeffectivenessinmeetingobjectivesovertimeandtoidentifywaysto
improvethesolutiontobettermeetobjectives.Thetopprioritiesofamonitoring
andevaluationsystemaretheintendedgoalsandeffectsofasolution,aswellas
inputs,activities,andoutputs.
10.28.3
Elements
.1 Indicators
Anindicatordisplaystheresultofanalyzingoneormorespecificmeasuresfor
addressingaconcernaboutaneed,value,output,activity,orinputinatableor
graphicalform.Eachconcernrequiresatleastoneindicatortomeasureit
properly,butsomemayrequireseveral.
Agoodindicatorhassixcharacteristics:
Clear:preciseandunambiguous.
Relevant:appropriatetotheconcern.
297
Metricsandkeyperformanceindicatorsmeasuretheperformanceofsolutions,
solutioncomponents,andothermattersofinteresttostakeholders.
Techniques
Economical:availableatreasonablecost.
Adequate:providesasufficientbasisonwhichtoassessperformance.
Quantifiable:canbeindependentlyvalidated.
TrustworthyandCredible:basedonevidenceandresearch.
Inadditiontothesecharacteristics,stakeholderinterestsarealsoimportant.
Certainindicatorsmayhelpstakeholdersperformorimprovemorethanothers.
Overtime,weaknessesinsomeindicatorscanbeidentifiedandimproved.
Notallfactorscanbemeasureddirectly.Proxiescanbeusedwhendatafordirect
indicatorsarenotavailableorwhenitisnotfeasibletocollectatregularintervals.
Forexample,intheabsenceofasurveyofclientsatisfaction,anorganization
mightusetheproportionofallcontractsrenewedasanindicator.
Whenestablishinganindicator,businessanalystswillconsideritssource,method
ofcollection,collector,andthecost,frequency,anddifficultyofcollection.
Secondarysourcesofdatamaybethemosteconomical,buttomeettheother
characteristicsofagoodindicator,primaryresearchsuchassurveys,interviews,or
directobservationsmaybenecessary.Themethodofdatacollectionisthekey
driverofamonitoring,evaluation,andreportingsystem'scost.
.2 Metrics
Metricsarequantifiablelevelsofindicatorsthataremeasuredataspecifiedpoint
intime.Atargetmetricistheobjectivetobereachedwithinaspecifiedperiod.In
settingametricforanindicator,itisimportanttohaveaclearunderstandingof
thebaselinestartingpoint,resourcesthatcanbedevotedtoimprovingthe
factorscoveredbytheindicator,andpoliticalconcerns.
Ametriccanbeaspecificpoint,athreshold,orarange.Arangecanbeusefulif
theindicatorisnew.Dependingontheneed,thescopeoftimetoreachthe
targetmetriccanbemultiyear,annual,quarterly,orevenmorefrequent.
.3 Structure
Establishingamonitoringandevaluationsystemrequiresadatacollection
procedure,adataanalysisprocedure,areportingprocedure,andthecollectionof
baselinedata.Thedatacollectionprocedurecoversunitsofanalysis,sampling
procedures,datacollectioninstrumentstouse,collectionfrequency,and
responsibilityforcollection.Theanalysismethodspecifiesboththeproceduresfor
conductingtheanalysisandthedataconsumer,whomayhavestronginterestsin
howtheanalysisisconducted.Thereportingprocedurecoversthereport
templates,recipients,frequency,andmeansofcommunication.Baseline
informationisthedataprovidedimmediatelybeforeoratthebeginningofa
periodtomeasure.Baselinedataisusedbothtolearnaboutrecentperformance
andtomeasureprogressfromthatpointforward.Itneedstobecollected,
analyzed,andreportedforeachindicator.
Therearethreekeyfactorsinassessingthequalityofindicatorsandtheirmetrics:
reliability,validity,andtimeliness.Reliabilityistheextenttowhichthedata
collectionapproachisstableandconsistentacrosstimeandspace.Validityisthe
298
Techniques
MindMapping
extenttowhichdataclearlyanddirectlymeasurestheperformancethe
organizationintendstomeasure.Timelinessisthefitofthefrequencyandlatency
ofdatatothemanagementsneed.
.4 Reporting
Typically,reportscomparethebaseline,currentmetrics,andtargetmetricswith
calculationsofthedifferencespresentedinbothabsoluteandrelativeterms.In
mostsituations,trendsaremorecredibleandimportantthanabsolutemetrics.
Visualpresentationstendtobemoreeffectivethantables,particularlywhen
usingqualitativetexttoexplainthedata.
10.28.4
UsageConsiderations
Establishingamonitoringandevaluationsystemallowsstakeholdersto
understandtheextenttowhichasolutionmeetsanobjective,aswellashow
effectivetheinputsandactivitiesofdevelopingthesolution(outputs)were.
Indicators,metrics,andreportingalsofacilitateorganizationalalignment,
linkinggoalstoobjectives,supportingsolutions,underlyingtasks,and
resources.
.2 Limitations
Gatheringexcessiveamountsofdatabeyondwhatisneededwillresultin
unnecessaryexpenseincollecting,analyzing,andreporting.Itwillalsodistract
projectmembersfromotherresponsibilities.OnAgileprojects,thiswillbe
particularlyrelevant.
Abureaucraticmetricsprogramfailsfromcollectingtoomuchdataandnot
generatingusefulreportsthatwillallowtimelyaction.Thosechargedwith
collectingmetricdatamustbegivenfeedbacktounderstandhowtheiractions
areaffectingthequalityoftheprojectresults.
Whenmetricsareusedtoassessperformance,theindividualsbeingmeasured
arelikelytoacttoincreasetheirperformanceonthosemetrics,evenifthis
causessuboptimalperformanceonotheractivities.
10.29
10.29.1
MindMapping
Purpose
Mindmappingisusedtoarticulateandcapturethoughts,ideas,andinformation.
10.29.2
Description
Mindmappingisaformofnotetakingthatcapturesthoughts,ideas,and
informationinanonlineardiagram.Mindmapsuseimages,words,colour,and
299
.1 Strengths
MindMapping
Techniques
connectedrelationshipstoapplystructureandlogictothoughts,ideas,and
information.Amindmaphasacentralmainideasupportedbysecondaryideas
(ortopics),followedbyasmanylayersofideas(orsubtopics)asnecessarytofully
captureandarticulatetheconcept.Connectionsaremadebetweenideasby
branchesthattypicallyhaveasinglekeywordassociatedwiththemthatexplain
theconnection.
Mindmapscanbedevelopedindividuallyorasacollaborationexercise.Theycan
becreatedonpaperorwiththeuseofspecializedsoftware.
Businessanalystsusemindmapsto:
thinkthroughandgenerateideasoncomplexconceptsorproblems,
explorerelationshipsbetweenthevariousfacetsofaprobleminawaythat
inspirescreativeandcriticalthinking,and
presentaconsolidatedviewofcomplexconceptsorproblems.
Thereisnostandardizedformatforamindmap.Theintentofamindmapisto
captureinformationinafashioncloselyresemblinghowourmindsprocess
information.Thefollowingimageisintendedtoillustratethegeneralstructure
andusageofmindmaps.
Figure10.29.1:TheTaxonomyofaMindMap
Branches
Subtopic1.1
Subtopic3.1
Keyword
Keyword
Topic1
Topic3
Keyword
Subtopic1.2
Keyword
Keyword
Keyword
Subtopic3.2
MainTopic
Subtopic2.1
Subtopic4.1
Keyword
Subtopic2.2
Topic2
Keyword
Keyword
Topic4
Keyword
Keyword
Keyword
Subtopic4.2
Branches
Subtopic2.2.1
Keyword
Subtopic4.3
Keyword
Keyword
Subtopic2.2.2
Subtopic4.3.1
300
Techniques
10.29.3
MindMapping
Elements
.1 MainTopic
Themaintopicofamindmapisthethoughtorconceptthatisbeingarticulated.
Themaintopicispositionedinthecentreoftheimagessothatmultipletopics
andassociationscanbranchoff.Imagesarefrequentlyusedasthemaintopic
becausetheycontainagreatdealofinformationandcanbeusefulinstimulating
associatedtopics.
.2 Topics
Topicsarethoughtsorconceptsthatexpounduponorfurtherarticulatethemain
topic.Theirassociationwiththemaintopicisexpressedthroughabranch
(connectedline)thathasakeywordassociatedwithit.Therecanbeasmanyoras
fewtopicsasrequiredtofullyexplorethethoughtorconceptofthemaintopic.
Subtopicsarethoughtsorconceptsthatexpounduponorfurtherarticulatethe
topicanddirectlyrelatetothemaintopic.Theirassociationwiththetopicis
expressedthroughabranch(connectedline)thathasakeywordassociatedwith
it.Therecanbeasmanyorasfewsubtopicsasrequiredtofullyexplorethe
thoughtorconceptofthemaintopic.
.4 Branches
Branchesaretheassociationsbetweenthemaintopic,topics,andsubtopics.
Branchesincludeakeywordthatclearlyarticulatesthenatureoftheassociation.
.5 Keywords
Keywordsaresinglewordsusedtoarticulatethenatureoftheassociationof
topicsorsubtopicsconnectedbyabranch.Thekeywordsareusefulforboth
categorizingtopicsandfortriggeringadditionalassociations.
.6 Colour
Colourmaybeusedtocategorize,prioritize,andanalyzetopics,subtopics,and
theirassociations.Thereisnodefinedcolourcodingstandardformindmaps.
Eachmindmapcreatorappliescolourinawaythatbestsuitstheirmodeof
thinking.
.7 Images
Imagescanbeusedinmindmapstoexpresslargervolumesofinformationthat
areunabletobeexpressedinshorttopicheadings.Imagesareusefulin
stimulatingcreativityandinnovationbygeneratingadditionalthoughts,ideas,
andassociations.
301
.3 Subtopics
NonFunctionalRequirementsAnalysis
10.29.4
Techniques
UsageConsiderations
.1 Strengths
Canbeusedasaneffectivecollaborationandcommunicationtool.
Summarizescomplexthoughts,ideas,andinformationinawaythatshowsthe
overallstructure.
Associationsandsubtopicsfacilitateunderstandinganddecisionmaking.
Enablecreativeproblemsolvingbyarticulatingassociationsandgenerating
newassociations.
Canbehelpfulinpreparinganddeliveringpresentations.
.2 Limitations
Canbemisusedasabrainstormingtool,andtherelateddocumentingofideas
andcreatingassociationsmayinhibitideageneration.
Asharedunderstandingofamindmapcanbedifficulttocommunicate.
10.30
10.30.1
Purpose
Nonfunctionalrequirementsanalysisexaminestherequirementsforasolution
thatdefinehowwellthefunctionalrequirementsmustperform.Itspecifies
criteriathatcanbeusedtojudgetheoperationofasystemratherthanspecific
behaviours(whicharereferredtoasthefunctionalrequirements).
10.30.2
Description
Nonfunctionalrequirements(alsoknownasqualityattributesorqualityofservice
requirements)areoftenassociatedwithsystemsolutions,buttheyalsoapply
morebroadlytobothprocessandpeopleaspectsofsolutions.Theyaugmentthe
functionalrequirementsofasolution,identifyconstraintsonthoserequirements,
ordescribequalityattributesasolutionmustexhibitwhenbasedonthose
functionalrequirements.
Nonfunctionalrequirementsaregenerallyexpressedintextualformatsas
declarativestatementsorinmatrices.Declarativenonfunctionalrequirements
statementswilltypicallyhaveaconstrainingfactortothem.Forexample,errors
mustnotexceedXperuseoftheprocess,transactionsmustbeatleastX%
processedafterSseconds,orthesystemmustbeavailableX%ofthetime.
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Techniques
10.30.3
Elements
.1 CategoriesofNonFunctionalRequirements
Commoncategoriesofnonfunctionalrequirementsinclude:
Availability:degreetowhichthesolutionisoperableandaccessiblewhen
requiredforuse,oftenexpressedintermsofpercentoftimethesolutionis
available.
Compatibility:degreetowhichthesolutionoperateseffectivelywithother
componentsinitsenvironment,suchasoneprocesswithanother.
Functionality:degreetowhichthesolutionfunctionsmeetuserneeds,
includingaspectsofsuitability,accuracy,andinteroperability.
PerformanceEfficiency:degreetowhichasolutionorcomponent
performsitsdesignatedfunctionswithminimumconsumptionofresources.
Canbedefinedbasedonthecontextorperiod,suchashighpeak,mid
peakoroffpeakusage.
Portability:easewithwhichasolutionorcomponentcanbetransferred
fromoneenvironmenttoanother.
Reliability:abilityofasolutionorcomponenttoperformitsrequired
functionsunderstatedconditionsforaspecifiedperiodoftime,suchas
meantimetofailureofadevice.
Scalability:degreewithwhichasolutionisabletogroworevolveto
handleincreasedamountsofwork.
Security:aspectsofasolutionthatprotectsolutioncontentorsolution
componentsfromaccidentalormaliciousaccess,use,modification,
destruction,ordisclosure.
Usability:easewithwhichausercanlearntousethesolution.
Certification:constraintsonthesolutionthatarenecessarytomeetcertain
standardsorindustryconventions.
Compliance:regulatory,financial,orlegalconstraintswhichcanvarybased
onthecontextorjurisdiction.
Localization:requirementsdealingwithlocallanguages,laws,currencies,
cultures,spellings,andothercharacteristicsofusers,whichrequires
attentiontothecontext.
ServiceLevelAgreements:constraintsoftheorganizationbeingserved
bythesolutionthatareformallyagreedtobyboththeproviderandthe
userofthesolution.
Extensibility:theabilityofasolutiontoincorporatenewfunctionality.
303
Maintainability:easewithwhichasolutionorcomponentcanbe
modifiedtocorrectfaults,improveperformanceorotherattributes,or
adapttoachangedenvironment.
Techniques
.2 MeasurementofNonFunctionalRequirements
Nonfunctionalrequirementsoftendescribequalitycharacteristicsinvagueterms,
suchastheprocessmustbeeasytolearn",orthesystemmustrespond
quickly.Tobeusefultodevelopersofasolutionandtobeverifiable,non
functionalrequirementsmustbequantifiedwheneverpossible.Includingan
appropriatemeasureofsuccessprovidestheopportunityforverification.
Forexample:
"Theprocessmustbeeasytolearn"canbeexpressedas"90%of
operatorsmustbeabletousethenewprocessafternomorethansixhours
oftraining",and
"Thesystemmustrespondquickly"canbeexpressedas"Thesystemmust
provide90%ofresponsesinnomorethantwoseconds".
Measurementoftheothercategoriesofnonfunctionalrequirementsisguidedby
thesourceoftherequirement.
Forexample:
certificationrequirementsaregenerallyspecifiedinmeasurabledetailbythe
organizationsettingthestandardorconvention,suchasISOCertification
standards,
compliancerequirementsandlocalizationrequirementsaresetin
measurabledetailbytheirproviders,
effectiveservicelevelagreementsstateclearlythemeasuresofsuccess
required,and
anorganizationsenterprisearchitecturegenerallydefinesthesolution
environmentrequirementsandspecifiesexactlywhichplatformorother
attributeoftheenvironmentisrequired.
.3 ContextofNonFunctionalRequirements
Dependingonthecategoryofnonfunctionalrequirements,thecontextmay
havetobeconsidered.Forexample,aregulatoryagencymayimposecontext
impactingcomplianceandsecurityrequirements,oranorganizationthatis
expandingoperationsabroadmayhavetoconsiderlocalizationandscalability
requirements.Determiningtheoptimalportfolioofnonfunctionalrequirements
inagivenorganizationalcontextiscentraltodeliveringvaluetostakeholders.
Theassessmentofanonfunctionalrequirement,suchaslocalizationor
maintainability,mayimposecontextualpressuresonothernonfunctional
requirements.Forinstance,regulationsorresourcesinonejurisdictionmayaffect
themaintainabilityofasolutioninthatregion,andsoitmayjustifyalower
performanceefficiencyorreliabilitymeasureofsuccessthaninanotherjurisdiction.
Contextisdynamicbynatureandnonfunctionalrequirementsmayneedtobe
adjustedorremovedoutright.Businessanalystsconsidertherelativestabilityof
thecontextwhenevaluatingnonfunctionalrequirements.
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Techniques
10.30.4
Observation
UsageConsiderations
.1 Strengths
Clearlystatestheconstraintsthatapplytoasetoffunctionalrequirements.
Providesmeasurableexpressionsofhowwellthefunctionalrequirementsmust
perform,leavingittothefunctionalrequirementstoexpresswhatthesolution
mustdoorhowitmustbehave.Thiswillalsohaveastronginfluenceon
whetherthesolutionisacceptedbytheusers.
.2 Limitations
Expectationsofmultipleusersmaybequitedifferent,andgettingagreement
onqualityattributesmaybedifficultbecauseoftheusers'subjectiveperception
ofquality.Forexample,whatmightbe'toofast'tooneusermightbe'too
slow'toanother.
Asetofnonfunctionalrequirementsmayhaveinherentconflictsandrequire
negotiation.Forexample,somesecurityrequirementsmayrequire
compromisesonperformancerequirements.
Overlystrictrequirementsorconstraintscanaddmoretimeandcosttothe
solution,whichmayhavenegativeimpactsandweakenadoptionbyusers.
Manynonfunctionalrequirementsarequalitativeandthereforemaybe
difficulttobemeasuredonascale,andmaygarneradegreeofsubjectivityby
theusersastohowtheybelievetheparticularrequirementsultimatelymeet
theirneeds.
10.31
10.31.1
Observation
Purpose
Observationisusedtoelicitinformationbyviewingandunderstandingactivities
andtheircontext.Itisusedasabasisforidentifyingneedsandopportunities,
understandingabusinessprocess,settingperformancestandards,evaluating
solutionperformance,orsupportingtraininganddevelopment.
10.31.2
Description
Observationofactivities,alsoknownasjobshadowing,involvesexamininga
workactivityfirsthandasitisperformed.Itcanbeconductedineithernatural
workenvironmentsorspeciallyconstructedlaboratoryconditions.Theobjectives
oftheobservationdictatehowitisplannedforandmethodicallyconducted.
305
Theclarityandusefulnessofanonfunctionalrequirementdependsonwhat
thestakeholdersknowabouttheneedsforthesolutionandhowwelltheycan
expressthoseneeds.
Observation
Techniques
Therearetwobasicapproachesforobservation:
Active/Noticeable:whileobservinganactivitytheobserverasksany
questionsastheyarise.Despitethisinterruptiontotheworkflow,the
observercanmorequicklyunderstandtherationaleandhiddenprocesses
underlyingtheactivity,suchasdecisionmaking.Avariationofthismethod
mayinvolveevenstrongerinterventionintoactors'activitiesbystimulating
themtoperformspecifictasks.Thiskindoffacilitatedobservationallows
focusontheobserver'sobjectivesinordertoshortenobservationtimeor
elicitspecificinformation.
Passive/Unnoticeable:duringtheactivitytheobserverdoesnotinterrupt
thework.Anyconcernsareraisedoncetheobservationisover.Thisallows
observationofanaturalflowofeventswithoutinterventionbythe
observer,aswellasmeasurementofthetimeandqualityofwork.A
variationofthismethodisvideorecordingtheactivityandthenreviewingit
withthepersonbeingobservedsotheymayprovidefurtherclarification.
Inspectionofaperson'sworkenvironmenthelpsindiscoveringanytoolsand
informationassetsinvolvedinperformingtheiractivities.Thissupports
understandingoftheactivities,especiallywiththepurposeofidentifyingneeds
andopportunities.Thiskindofobservationisanimportantpartofthe
technique'svariation,andisknownasContextualInquiry.
10.31.3
Elements
.1 ObservationObjectives
Aclearandspecificobjectiveestablishesadefinedpurposeoftheobservation
session.
Objectivesofanobservationsessionmayinclude:
understandingtheactivityanditselementssuchastasks,tools,events,and
interactions,
identifyingopportunitiesforimprovement,
establishingperformancemetrics,or
assessingsolutionsandvalidatingassumptions.
.2 PrepareforObservation
Preparingforanobservationsessioninvolvesplanningtheobservationapproach
basedontheobjectivesanddecidingwhoshouldbeviewedperformingwhich
activitiesatwhattimes.Whilepreparingforanobservationsession,business
analystsconsidertheskillandexperiencelevelsofparticipants,thefrequencyof
theactivitiesbeingobserved,andanyexistingdocumentationandanalysisrelated
totheworkactivity.Preparingforobservationalsoincludescreatingascheduleof
observations.
Theplanforobservationensuresthatallstakeholdersareawareofthepurposeof
theobservationsession,theyagreeontheexpectedoutcomes,andthatthe
sessionmeetstheirexpectations.
306
Techniques
Observation
.3 ConducttheObservationSession
Beforetheobservationsession:
explainwhytheobservationisbeingconducted,
reassuretheparticipantthattheirpersonalperformanceisnotbeingjudged
andthattheresultsofthisobservation,amongothers,willbeevaluatedas
awhole,
informtheparticipantthattheycanstoptheobservationatanytime,and
recommendthesharingofanyreasoningorconcernswhileperformingthe
activityorsoonafterwards.
Duringtheobservationsession:
recordwhatisseen,thetimetakentoperformthework,itsquality,any
processanomalies,andtheobserver'sownconcernsorquestions,and
askprobingquestionseitherwhiletheworkisbeingperformedorsoon
aftertheobservationsession.
.4 ConfirmandPresentObservationResults
Aftertheobservationsession,businessanalystsreviewthenotesanddata
recordedfromtheobservationandfollowupwiththeparticipanttoobtain
answerstoanyremainingquestionsortofillanygaps.Sharingthesenotesand
datawithparticipantsmaybehelpfulinobtaininganswerstoanyquestionsor
easinganyconcernstheparticipantmayhave.
Thevalidatednotesanddataarecollatedwithotherrelatedobservationsto
identifysimilarities,differences,andtrends.Findingsareaggregated,
summarized,andanalyzedagainsttheobjectivesofthesession.Needsand
opportunitiesforimprovementarecommunicatedtostakeholders.
10.31.4
UsageConsiderations
.1 Strengths
Observerscangainrealisticandpracticalinsightabouttheactivitiesandtheir
taskswithinanoverallprocess.
Instancesofinformallyperformedtasksaswellasanyworkaroundscanbe
identified.
Productivitycanbeviewedfirsthandandrealisticallycomparedagainstany
establishedperformancestandardsormetrics.
Recommendationsforimprovementaresupportedbyobjectiveand
quantitativeevidence.
307
attentivelywatchthepersonperformtheactivityandnotetypicaland
atypicaltasksorsteps,themannerinwhichanytoolsareused,and
informationcontent,
OrganizationalModelling
Techniques
.2 Limitations
Maybedisruptivetotheperformanceoftheparticipantandtheoverall
organization.
Canbethreateningandintrusivetothepersonbeingobserved.
Whilebeingobserved,aparticipantmayaltertheirworkpractices.
Significanttimeisrequiredtoplanforandconductobservations.
Notsuitableforevaluatingknowledgebasedactivitiessincethesearenot
directlyobservable.
10.32
10.32.1
Purpose
Organizationalmodellingisusedtodescribetheroles,responsibilities,and
reportingstructuresthatexistwithinanorganizationandtoalignthosestructures
withtheorganization'sgoals.
10.32.2
Description
Anorganizationalmodeldefineshowanorganizationororganizationalunitis
structured.Thepurposeofanorganizationalunitistobringtogetheragroupof
peopletofulfillacommonpurpose.Thegroupmaybeorganizedbecausethe
peopleshareacommonsetofskillsandknowledgeortoserveaparticular
market.
Anorganizationalmodelisavisualrepresentationoftheorganizationalunit
whichdefines:
theboundariesofthegroup(whoisinthegroup),
theformalrelationshipsbetweenmembers(whoreportstowhom),
thefunctionalroleforeachperson,and
theinterfaces(interactionanddependencies)betweentheunitandother
unitsorstakeholders.
10.32.3
Elements
.1 TypesofOrganizationalModels
Therearethreepreeminentorganizationalmodels:
Functionallyoriented:groupstafftogetherbasedonsharedskillsor
areasofexpertiseandgenerallyencourageastandardizationofworkor
processeswithintheorganization.Functionalorganizationsarebeneficial
becausetheyseemtofacilitatecostmanagementandreduceduplicationof
308
Techniques
work,butarepronetodevelopcommunicationandcrossfunctional
coordinationproblems(knowninformallyas"silos").
Figure10.32.1:FunctionallyorientedOrganizationalModel
ExecutiveFunction
IncumbentName
ManagementFunction
IncumbentName
BusinessAreaManagement
Function(nostaff)
StaffFunction
IncumbentName
ManagementFunction
IncumbentName
StaffFunction
IncumbentName
StaffFunction
IncumbentName
Marketoriented:maybeintendedtoserveparticularcustomergroups,
geographicalareas,projects,orprocessesratherthangroupingemployees
bycommonskillsorexpertise.Marketorientedstructurespermitthe
organizationtomeettheneedsofitscustomers,butareproneto
developinginconsistenciesinhowworkisperformed.Somemaydiscover
theyareperformingduplicateworkinmultipleareas.
Figure10.32.2:MarketorientedOrganizationalModel
President/CEO
Staff
Market3
Finance
(SharedSupport)
Market1
Market2
Research&
Development
Research&
Development
Research&
Development
Accounting
Manufacturing
Manufacturing
Manufacturing
Planning
Marketing&Sales
Marketing&Sales
Marketing&Sales
309
Function
Vacancy
ManagementFunction
IncumbentName
Techniques
TheMatrixModel:hasseparatemanagersforeachfunctionalareaand
foreachproduct,service,orcustomergroup.Employeesreporttoaline
manager,whoisresponsiblefortheperformanceofatypeofworkandfor
identifyingopportunitiesforefficiencyinthework,andtoamarket(or
product,service,orproject)manager,whoisresponsibleformanagingthe
productorserviceacrossmultiplefunctionalareas.Achallengeofthe
matrixmodelisthateachemployeehastwomanagers(whoarefocusedon
differentgoals)andaccountabilityisdifficulttomaintain.
Figure10.32.3:MatrixOrganizationalModel
Area1
Area2
Area3
LineManager
LineManager
LineManager
ProjectManager
Employee
Employee
Employee
ProcessManager
Employee
Employee
Employee
ProductManager
Employee
Employee
Employee
.2 Roles
Anorganizationalunitincludesanumberofdefinedroles.Eachrolerequiresa
certainsetofskillsandknowledge,hasspecificresponsibilities,performscertain
kindsofwork,andhasdefinedrelationshipswithotherrolesintheorganization.
.3 Interfaces
Eachorganizationalunithasinterfaceswithotherorganizationalunits.Interfaces
(interactions)maybeintheformofcommunicationwithpeopleinotherroles
andworkpackagesthattheorganizationalunitreceivesfromordeliverstoother
units.
.4 OrganizationalCharts
Thefundamentaldiagramusedinorganizationalmodellingistheorganizational
chart(orgchart).
Thereisnorecognizedstandardfororgcharts,althoughtherearesome
conventionsthatmostorgchartsfollow:
Aboxdepicts:
OrganizationalUnit:people,teams,departments,ordivisions.Anorg
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Techniques
Prioritization
chartmaymixorganizationalunitsandshowamixofpeople,teams,
andhigherleveldivisions.
RolesandPeople:theroleswithinanorganizationandthepeople
assignedtoeachrole.
Alinedepicts:
LinesofReporting:accountabilityandcontrolbetweenunits.Asolid
linetypicallydenotesdirectauthority,whileadottedlineindicates
informationtransferorsituationalauthority.Linesofreportingdepict
therelationshipbetweenamanagerandanorganizationalunit
.5 Influencers
Determiningalloftheinfluencersisimportantinplanningcommunicationand
makingprovisionsforuseracceptance.Onemethodofidentifyinginfluencers
maybetoaskstakeholders,WhocanIaskandnotetheanswers.An
influencermaybeapersoneveryonegoestoforinformation,direction,and
advice.Anothermethodistonotewhospeaksforthegroupinmeetings.
10.32.4
UsageConsiderations
.1 Strengths
Organizationalmodelsarecommoninmostorganizations.
Includinganorganizationalmodelinbusinessanalysisinformationallowsteam
memberstoprovidesupport.Futureprojectsmaybenefitfromknowingwho
wasinvolvedinthisprojectandwhattheirroleentailed.
.2 Limitations
Organizationalmodelsaresometimesoutofdate.
Informallinesofauthority,influence,andcommunicationnotreflectedinthe
orgchartaremoredifficulttoidentifyandmayconflictwiththeorganizational
chart.
10.33
10.33.1
Prioritization
Purpose
Prioritizationprovidesaframeworkforbusinessanalyststofacilitatestakeholder
decisionsandtounderstandtherelativeimportanceofbusinessanalysis
information.
311
Organizationalchartsaretheprimarytoolforbeginningorganizational
modelling. Organizationalchartsrepresenttheformalstructureoftheorganization.
Businessanalystsalsoidentifyinformallinesofauthority,influence,and
communicationwhichmaynotdirectlyalignwiththeformalorganizationalchart.
Prioritization
10.33.2
Techniques
Description
Prioritizationisaprocessusedtodeterminetherelativeimportanceofbusiness
analysisinformation.Theimportancemaybebasedonvalue,risk,difficultyof
implementation,orothercriteria.Theseprioritiesareusedtodeterminewhich
businessanalysisinformationshouldbetargetedforfurtheranalysis,which
requirementsshouldbeimplementedfirst,orhowmuchtimeordetailshouldbe
allocatedtotherequirements.
Therearemanyapproachestoprioritization.Forthepurposeofthistechnique,
prioritizationisclassifiedintooneoffourapproaches:
Grouping,
Ranking,
Timeboxing/Budgeting,and
Negotiation.
Whenchoosingaprioritizationapproach,businessanalystsconsiderthe
audience,theirneeds,andtheiropinionsonthevaluearequirementorbusiness
analysisinformationbringstoastakeholder'srespectivearea.
Businessanalystsrevisitprioritiesandutilizedifferentapproacheswhenchanges
occurinthebusinessenvironment,tothestakeholders,andtothebusiness
analysisinformation.
Figure10.33.1:ApproachestoPrioritization
Determineimportanceofbusinessanalysisinformationbasedon
value,risk,difficultyofimplementation,orothercriteria.
ApproachestoPrioritization
Grouping
Ranking
Budgeting/
TimeBoxing
Negotiation
BAinformation
Stakeholder
BAinformation
BAinformation
basedonallocationof
consensuson
classifiedhigh,
orderedfrommostto
afixedresource
requirementstobe
medium,lowpriority
leastimportant
(timeormoney)
prioritized
Consideraudienceneedsandopinions
Chooseapproach(es)
312
Techniques
10.33.3
Prioritization
Elements
.1 Grouping
Groupingconsistsofclassifyingbusinessanalysisinformationaccordingto
predefinedcategoriessuchashigh,medium,orlowpriority.Manyrequirements
managementtoolssupportlistingtheprioritycategoryasanattributeofa
requirement.
.2 Ranking
Rankingconsistsoforderingbusinessanalysisinformationfrommosttoleast
important.Someadaptiveapproachesinvolvetheexplicitsequencingof
requirementsinanorderedlist(aproductbacklog).
Timeboxingorbudgetingprioritizesbusinessanalysisinformationbasedonthe
allocationofafixedresource.Itisfrequentlyusedwhenthesolutionapproach
hasbeendetermined.Timeboxingisusedtoprioritizerequirementsbasedonthe
amountofworkthattheprojectteamiscapableofdeliveringinasetperiodof
time.Budgetingisusedwhentheprojectteamhasbeenallocatedafixedamount
ofmoney.Thisapproachismostoftenusedwhenafixeddeadlinemustbemet
orforsolutionsthatareenhancedonaregularandfrequentbasis.
.4 Negotiation
Thenegotiationapproachinvolvesestablishingaconsensusamongstakeholders
astowhichrequirementswillbeprioritized.
10.33.4
UsageConsiderations
.1 Strengths
Facilitatesconsensusbuildingandtradeoffsandensuresthatsolutionvalueis
realizedandinitiativetimelinesaremet.
.2 Limitations
Somestakeholdersmayattempttoavoiddifficultchoicesandfailtorecognize
thenecessityformakingtradeoffs.
Thesolutionteammayintentionallyorunintentionallytrytoinfluencetheresult
oftheprioritizationprocessbyoverestimatingthedifficultyorcomplexityof
implementingcertainrequirements.
Metricsandkeyperformanceindicatorsareoftennotavailablewhen
prioritizingbusinessanalysisinformationtherefore,astakeholdersperspective
oftheimportancemaybesubjective.
313
.3 TimeBoxing/Budgeting
ProcessAnalysis
10.34
10.34.1
Techniques
ProcessAnalysis
Purpose
Processanalysisassessesaprocessforitsefficiencyandeffectiveness,aswellasits
abilitytoidentifyopportunitiesforchange.
10.34.2
Description
Processanalysisisusedforvariouspurposesincluding:
recommendingamoreefficientoreffectiveprocess,
determiningthegapsbetweenthecurrentandfuturestateofaprocess,
understandingfactorstobeincludedinacontractnegotiation,
understandinghowdataandtechnologyareusedinaprocess,and
analyzingtheimpactofapendingchangetoaprocess.
Anumberofframeworksandmethodologiesexistthatfocusonprocessanalysis
andimprovementmethods,suchasSixSigmaandLean.Methodsforprocess
improvementincludevaluestreammapping,statisticalanalysisandcontrol,
processsimulation,benchmarking,andprocessframeworks.
Commonchangesmadetoprocessesinordertoimprovetheminclude:
reducingthetimerequiredtocompleteataskortasksintheprocess,
modifyinginterfacesorhandoffsbetweenrolesandorganizationalunitsto
removeerrors,includingthereductionoreliminationofbottlenecks,
automatingstepsthataremoreroutineorpredictable,and
increasingthedegreeofautomationinthedecisionmakingrequiredbythe
process.
Whenanalyzingaprocess,businessanalystslookfor:
howtheprocessaddsorcreatesvaluefortheorganization,
howtheprocessalignstoorganizationalgoalsandstrategy,
towhatdegreetheprocessisandneedstobeefficient,effective,repeated,
measured,controlled,used,andtransparent,and
howtherequirementsforasolutioncoverthefuturestateprocessandits
externalstakeholders,includingcustomers.
10.34.3
Elements
.1 IdentifyGapsandAreastoImprove
Identifyinggapsandareastoimprovehelpstoidentifywhatareasareinscopefor
analysis.Industryspecificmodelsandprocessframeworksmaybehelpfulinthis
314
Techniques
ProcessAnalysis
regard.Whenidentifyinggapsandareastoimprove,businessanalysts:
identifygapsbetweenthecurrentanddesiredfuturestate,
identifywhatgapsandareasarevalueandnonvalueadded,
understandpainpointsandthechallengesoftheprocessfrommultiple
pointsofview,
understandopportunitiestoimprovetheprocessfrommultiplepointsof
view,
alignthegapsandareastoimprovewiththestrategicdirectionofthe
organization,and
understandtherelationshipofthegapsandareastoimprovetochangesin
theenterprise.
Identifyingtherootcauseofthegapsandimprovementareasensuresthatthe
solutionaddressestherightgapandarea.
Whenidentifyingtherootcause,businessanalystsunderstand:
theremaybemultiplerootcauses,
theinputsleadingtothegaporareaofimprovement,
whotherightpeoplearetoidentifytherootcause,and
thecurrentmeasurementsandmotivatorsinplaceforthoseowningor
performingtheprocess.
.3 GenerateandEvaluateOptions
Generatingoptionsandalternativesolutionstosolveforthegaporareaof
improvementhelpstheteamevaluateandseedifferentpointsofviewfor
improvingtheprocess.Itisimportantforstakeholderstobeinvolvedin
identifyingtheimpact,feasibility,andvalueoftheproposedsolutionrelativeto
alternativeoptions.
.4 CommonMethods
SIPOC
SIPOCisaprocessanalysismethodthatoriginatesintheSixSigmamethodology
andhasbeenmorecommonlyadoptedasaprocessanalysismethodoutsideof
SixSigma.
ItisusedtolookattheprocessandunderstandtheSuppliers,Inputs,Process,
OutputsandCustomersoftheprocessbeinganalyzed.
ASIPOCprovidesasimpleoverviewoftheprocess.Italsoshowsthecomplexity
ofwhoandwhatisinvolvedincreatinginputstotheprocessandshowswho
receivesoutputsfromtheprocess.ASIPOCisapowerfultoolusedtocreate
315
.2 IdentifyRootCause
ProcessAnalysis
Techniques
dialogueaboutproblems,opportunities,gaps,rootcause,andoptionsand
alternativesduringprocessanalysis.
Figure10.34.1:SIPOCModel
Suppliers
Inputs
Process
Purchase
Outputs
Customers
Customer(buyer)
CustomerInformation
OrderDetails
Customer(buyer)
CreditCardBureau
InventoryInformation
Receipt
OrderWarehouse
PayPal
PaymentMethod&
Details
ProductPurchased
CreditBureau
PayPal
DeliveryService
Step1
CreateProfile
Step2
Step3
SelectItemsTo
Purchase
Confirm
Payment
Information
Step4
Confirm
Delivery
Information
Step5
ViewReceipt
ValueStreamMapping(VSM)
Valuestreammapping(VSM)isaprocessanalysismethodusedinLean
methodologies.
Valuestreammappinginvolvesthediagrammingandmonitoringofinputsand
applicationpointsforprocessingthoseinputs,startingfromthefrontendofthe
supplychain.Ateachstage,thevaluestreammapgaugesthewaittimeforthe
inputsandtheactualprocessingtimesattheapplicationpoints(alsoknownas
conversiontimes).Attheendofthesupplychain,thevaluestreammapdepicts
thelogisticsordistributionprocesstothecustomer.
Thevaluestreammapprovidesaonepagepictureofallthestepsinvolvedinthe
endtoendprocess,includingbothvalueadding(thevaluestream)andnon
valueadding(waste)elements.
316
Techniques
ProcessAnalysis
Figure10.34.2:ValueStreamMap
Supplier
Customer
Shi
p
me
nt
t
en
ip m
Sh
ElectronicInformationFlow
Process
Process
Activity/Tasks
Data
Data
Waittime
Time
Time
Processing/
Conversiontime
10.34.4
Process
Process
Activity/Tasks
Activity/Tasks
Data
Time
Data
Time
Time
Time
Valueaddingtime
Nonvalueaddingtime
Time
Totalelapsedtime
UsageConsiderations
.1 Strengths
Ensuressolutionsaddresstherightissues,minimizingwaste.
Manydifferenttechniquesandmethodologiescanbeusedandprovideteams
withgreatflexibilityinapproach.
.2 Limitations
Canbetimeconsuming.
Therearemanytechniquesandmethodologiesinprocessanalysis.Itcanbe
challengingtodecipherwhichtouseandhowrigorouslytofollowthem,given
thescopeandpurpose.
Mayproveineffectiveatprocessimprovementinknowledgeordecision
intensiveprocesses.
317
Activity/Tasks
Documents
(Manual
Information)
ProcessModelling
10.35
10.35.1
Techniques
ProcessModelling
Purpose
Processmodellingisastandardizedgraphicalmodelusedtoshowhowworkis
carriedoutandisafoundationforprocessanalysis.
10.35.2
Description
Processmodelsdescribethesequentialflowofworkoractivities.Abusiness
processmodeldescribesthesequentialflowofworkacrossdefinedtasksand
activitiesthroughanenterpriseorpartofanenterprise.Asystemprocessmodel
definesthesequentialflowofcontrolamongprogramsorunitswithina
computersystem.Aprogramprocessflowshowsthesequentialexecutionof
programstatementswithinasoftwareprogram.Aprocessmodelcanalsobe
usedindocumentingoperationalprocedures.
Aprocessmodelcanbeconstructedonmultiplelevels,eachofwhichcanbe
alignedtodifferentstakeholderpointsofview.Theselevelsexisttoprogressively
decomposeacomplexprocessintocomponentprocesses,witheachlevel
providingincreasingdetailandprecision.Atahigh(enterpriseorcontext)level,
themodelprovidesageneralunderstandingofaprocessanditsrelationshipto
otherprocesses.Atlower(operational)levels,itcandefinemoregranular
activitiesandidentifyalloutcomes,includingexceptionsandalternativepaths.At
thelowest(system)level,themodelcanbeusedasabasisforsimulationor
execution.
Processmodelscanbeusedto:
describethecontextofthesolutionorpartofthesolution,
describewhatactuallyhappens,orisdesiredtohappen,duringaprocess,
provideanunderstandabledescriptionofasequenceofactivitiestoan
externalobserver,
provideavisualtoaccompanyatextdescription,and
provideabasisforprocessanalysis.
Thebusinessanalystcanuseaprocessmodeltodefinethecurrentstateofa
process(alsoknownasanasismodel)orapotentialfuturestate(alsoknownas
atobemodel).Amodelofthecurrentstatecanprovideunderstandingand
agreementastowhathappensnow.Amodelofthefuturestatecanprovide
alignmentwithwhatisdesiredtohappeninthefuture.
Processmodelsgenerallyinclude:
theparticipantsintheprocess,
thebusinesseventthattriggerstheprocess,
thestepsoractivitiesoftheprocess(bothmanualandautomated),
thepaths(flows)anddecisionpointsthatlogicallylinkthoseactivities,and
318
Techniques
ProcessModelling
theresultsoftheprocess.
Themostbasicprocessmodelincludes:atriggerevent,asequenceofactivities,
andaresult.
Amorecomprehensiveprocessmodelcanincludeotherelements,suchasdata/
materials,inputsandoutputs,andcalloutdescriptionsthatsupplementthe
graphicalrepresentation.
10.35.3
Elements
.1 TypesofProcessModelsandNotations
Manydifferentnotationsareusedinprocessmodelling.
FlowchartsandValueStreamMapping(VSM):usedinthebusiness
domain.
DataFlowdiagramsandUnifiedModellingLanguage(UML
diagrams:usedintheinformationtechnologydomain.
BusinessProcessModelandNotation(BPMN):usedacrossboth
businessandinformationtechnologydomainsisincreasinglyadoptedasan
industrystandard.
IntegratedDEFinition(IDEF)notationandInput,Guide,Output,
Enabler(IGOE)diagrams:usedforestablishingscope.
SIPOCandValueStreamAnalysis:usedforprocessmodelling.
Processmodelstypicallycontainsomeorallofthefollowingkeyelements:
Activity:anindividualsteporpieceofworkthatformspartofthebusiness
process.Itmaybeasingletaskormaybefurtherdecomposedintoasub
process(withitsownactivities,flow,andotherprocesselements).
Event:azerotimeoccurrencewhichinitiates,interrupts,orterminatesan
activityortaskwithinaprocessortheprocessitself.Itmaybeamessage
received,thepassageoftime,ortheoccurrenceofaconditionasdefinedin
thebusinessrules.
DirectionalFlow:apaththatindicatesthelogicalsequenceofthe
workflow.Ingeneral,diagramsaredrawntoshowthepassageoftimeina
consistentfashion(typicallyinthedirectionthattextwouldberead).
DecisionPoint:apointintheprocesswheretheflowofworksplitsinto
twoormoreflows(paths),whichmaybemutuallyexclusivealternativesor
parallels.Adecisioncanalsobeusedtolocateruleswhereseparateflows
mergetogether.
Link:aconnectiontootherprocessmaps.
Role:atypeofpersonorgroupinvolvedintheprocess.Itsdefinitions
typicallymatchthoseintheorganizationalmodel.
319
Themostcommonlyusednotationsincludethefollowing:
ProcessModelling
Techniques
Flowchart
Flowchartsareusedcommonlywithnontechnicalaudiencesandaregoodfor
gainingbothalignmentwithwhattheprocessisandcontextforasolution.A
flowchartcanbesimple,displayingjustthesequenceofactivities,oritcanbe
morecomprehensive,usingswimlanes.Aswimlaneisapartitionedarea
(horizontalorvertical)thatsegregatesthoseactivitiesintheprocessthatare
carriedoutbyaparticularrole.
Figure10.35.1:Flowchart
SwimlaneforRole1
SwimlaneforRole2
Start
Theflowofworksplits.
Tasksareexecutedin
parallel.
Task1
Task2A
Task2B
Input/Output
Flowmerge
intoatask.
SubProcess
Decision
False
Task3
True
Asubprocessembeds
anotherprocessmodel.
Stop
Swimlanesareanunofficial,butcommon,
extensiontotheflowchartingstandard.
BusinessProcessModelandNotation(BPMN)
BusinessProcessModelandNotation(BPMN)providesanindustrystandard
languageformodellingbusinessprocessesinaformthatisaccessiblebyboth
businessusersandtechnicaldevelopers.BPMNisdesignedtocovermanytypesof
modelling,includingbothinternal(private)processesandcollaborative(public)
processes.Itcanbetheinputtoprocessautomationtechnologies.
AkeyfeatureofBPMNisitsabilitytodistinguishtheactivitiesofdifferent
participantsinaprocesswithpoolsandswimlanes.Whentheflowofwork
crossestheboundaryofaswimlane,responsibilityfortheworkthenpassesto
320
Techniques
ProcessModelling
anotherrolewithintheorganization.Swimlanesarepartofapool.Apoolisa
selfregulating(freestanding)businessentity,typicallyanorganizationora
system.Apoolmayincludeanumberofswimlanes,eachofwhichrepresentsa
role.Commonly,aprocessincludesonepoolforthecustomerandasecondpool
fortheorganizationunderstudy,althoughitispossibleforaprocesstoinclude
anynumberofpools.
Figure10.35.2:BusinessProcessModelandNotation
Lane1
Lane2
StartEvent
Tasksareexecutedin
parallel.
ParallelSplit
Task2A
Task2B
Theflowofwork
merges.Thejoinmust
beexplicit.
ParallelJoin
*nput/Output
Task
SubProcess
DataStore
Subprocess
successful?
ExclusiveGateway.The
decisionisnotmadeat
thegateway.Itismade
inaprecedingtask.
Task3
EndEvent
Asubprocessembeds
ActivityDiagram
Theactivitydiagramisoneoftheusecaserealizationdiagramsdefinedinthe
UnifiedModellingLanguage(UML ).Originallydesignedtoelaborateona
singleusecase,theactivitydiagramhasbeenadoptedformoregeneralprocess
modellingpurposes,includingbusinessprocessmodelling.Whilesimilarin
appearancetoaflowchart,theactivitydiagramtypicallyemploysswimlanesto
showresponsibilities,synchronizationbarstoshowparallelprocessing,and
multipleexitdecisionpoints.
321
Task1
ProcessModelling
Techniques
Figure10.35.3:ActivityDiagram
PartitionforRole1
PartitionforRole2
Tasksareexecutedin
parallel.
Task1
Task2A
Task2B
Flowmerges.
Task(I/O)
Decision
SubProcess
[False]
Task3
[True]
Asubprocessembeds
10.35.4
UsageConsiderations
.1 Strengths
Appealstothebasichumanunderstandingofsequentialactivities.
Moststakeholdersarecomfortablewiththeconceptsandbasicelementsofa
processmodel.
Theuseoflevelscanaccommodatethedifferentperspectivesofvarious
stakeholdergroups.
Effectiveatshowinghowtohandlealargenumberofscenariosandparallel
branches.
Canhelpidentifyanystakeholdergroupsthatmayhaveotherwisebeen
overlooked.
Facilitatestheidentificationofpotentialimprovementsbyhighlightingpain
pointsintheprocessstructure(i.e.processvisualization).
322
Techniques
Prototyping
Likelytohavevalueinitsownright.Theyprovidedocumentationfor
compliancepurposesandcanbeusedbybusinessstakeholdersfortrainingand
coordinationofactivities.
Canbeusedasabaselineforcontinuousimprovement.
Ensureslabellingconsistencyacrossartifacts.
Providestransparencyandclaritytoprocessownersandparticipantsonactivity
responsibilities,sequenceandhandovers.
.2 Limitations
Canbecomeextremelycomplexandunwieldyifnotstructuredcarefully.Thisis
especiallytrueifbusinessrulesanddecisionsarenotmanagedseparatelyfrom
theprocess.
Complexprocessescaninvolvemanyactivitiesandrolesthiscanmakethem
almostimpossibleforasingleindividualtounderstandandsignoff.
Problemsinaprocesscannotalwaysbeidentifiedbylookingatahighlevel
model.Amoredetailedmodelwithreferencetometadata(suchaspath
frequency,cost,andtimefactors)isusuallyrequired.Itisoftennecessaryto
engagewithstakeholdersdirectlytofindtheoperationalproblemstheyhave
encounteredwhileworkingwithaprocess.
Inahighlydynamicenvironmentwherethingschangequickly,processmodels
canbecomeobsolete.
Mayprovedifficulttomaintainiftheprocessmodelonlyservesas
documentation,asstakeholdersmayaltertheprocesstomeettheirneeds
withoutupdatingthemodel.
10.36
10.36.1
Prototyping
Purpose
Prototypingisusedtoelicitandvalidatestakeholderneedsthroughaniterative
processthatcreatesamodelordesignofrequirements.Itisalsousedtooptimize
userexperience,toevaluatedesignoptions,andasabasisfordevelopmentofthe
finalbusinesssolution.
10.36.2
Description
Prototypingisaprovenmethodforproductdesign.Itworksbyprovidinganearly
modelofthefinalresult,knownasaprototype.Prototypingisusedtoidentify
bothmissingorimproperlyspecifiedrequirementsandunsubstantiated
323
TomanypeopleinIT,aformalprocessmodeltendstoreflectanolderandmore
documentheavyapproachtosoftwaredevelopment.Therefore,projecttimeis
notallocatedtodevelopingaprocessmodel,especiallyofthecurrentstateor
problemdomain.
Prototyping
Techniques
assumptionsbydemonstratingwhattheproductlookslikeandhowitactsinthe
earlystagesofdesign.
Prototypescanbenonworkingmodels,workingrepresentations,ordigital
depictionsofasolutionoraproposedproduct.Theycanbeusedtomockup
websites,serveasapartiallyworkingconstructoftheproduct,ordescribe
processesthroughaseriesofdiagrams(suchasworkflow).Businessrulesand
dataprototypescanbeusedtodiscoverdesiredprocessflowandbusinessrules.
Dataprototypingcanbeusedfordatacleansingandtransformation.
10.36.3
Elements
.1 PrototypingApproach
Therearetwocommonapproachestoprototyping:
Throwaway:prototypesaregeneratedwithsimpletools(suchaspaper
andpencil,awhiteboard,orsoftware)toservethegoalofuncoveringand
clarifyingrequirements.Theprototypemaybeupdatedorevolveduringthe
courseofdiscussionanddevelopment,butdoesnotbecomeworkable
codeorgetmaintainedasadeliverableoncethefinalsystemorprocessis
implemented.Thismethodishelpfulforidentifyingfunctionalityor
processesthatarenoteasilyelicitedbyothertechniques,haveconflicting
pointsofview,oraredifficulttounderstand.Theseprototypescanbean
inexpensivetooltouncoverorconfirmrequirementsthatgobeyondan
interfaceincludingrequirementsrelatedtoprocesses,data,andbusiness
rules.
EvolutionaryorFunctional:prototypesarecreatedtoextendinitial
requirementsintoafunctioningsolutionasrequirementsarefurther
definedthroughstakeholderuse.Thisapproachproducesaworking
solutionandusuallyrequiresaspecializedprototypingtoolorlanguage.
Theseprototypesmaybeusedinthefinalsolution.Ifspecializedsoftwareis
used,businessprocesses,rules,anddatacanbesimulatedtoevaluatethe
impactofchangesandvalidatedesiredoutcomes.
.2 PrototypingExamples
Therearemanyformsofprototypinginusetoday.
Eachofthefollowingcanbeconsideredaformofprototyping:
ProofofPrincipleorProofofConcept:isamodelcreatedtovalidatethe
designofasystemwithoutmodellingtheappearance,materialsusedinthe
creationofwork,orprocesses/workflowsultimatelyusedbythe
stakeholders.
FormStudyPrototype:isusedtoexplorethebasicsize,look,andfeelof
aproductthatwillbemanufactured,withoutcreatingactualfunctionality.
Itisusedtoassessergonomicandvisualfactorsusingasculptural
representationoftheproductmadefrominexpensivematerials.Thistypeof
prototypemayalsobeusedtomodelaworkflowornavigationatahigh
324
Techniques
Prototyping
levelinordertoidentifygapsorinconsistenciesinthepossiblesolutionof
theproperties(forexample,appearance,configuration).
UsabilityPrototype:isaproductmodelcreatedtotesthowtheenduser
interactswiththesystemwithoutincludinganyoftheproperties(for
example,appearance,configuration).
VisualPrototype:isaproductmodelcreatedtotestthevisualaspectsof
thesolutionwithoutmodellingthecompletefunctionality.
FunctionalPrototype:isamodelcreatedtotestsoftwarefunctionality,
qualitiesofthesystemfortheuser(forexample,appearance),and
workflow.Itisalsoreferredtoasaworkingmodelandisusedbothto
simulatebusinessprocessesandbusinessrulesandtoevaluatesoftware
functioncalls.
Thefollowingisalistofcommonlyusedmethodsforprototyping:
Storyboarding:isusedtovisuallyandtextuallydetailthesequenceof
activitiesbysummingupdifferentuserinteractionswiththesolutionor
enterprise.
PaperPrototyping:usespaperandpenciltodraftaninterfaceorprocess.
WorkflowModelling:depictsasequenceofoperationsthatare
performedandusuallyfocusessolelyonthehumanaspect.
Simulation:isusedtodemonstratesolutionsorcomponentsofasolution.
Itmaytestvariousprocesses,scenarios,businessrules,data,andinputs.
10.36.4
UsageConsiderations
.1 Strengths
Providesavisualrepresentationforthefuturestate.
Allowsforstakeholderstoprovideinputandfeedbackearlyinthedesign
process.
Whenusingthrowawayorpaperprototypingmethods,usersmayfeelmore
comfortablebeingcriticalofthemockupbecauseitisnotpolishedand
releaseready.
Anarrowyetdeepverticalprototypecanbeusedfortechnicalfeasibility
studies,proofofconceptefforts,ortouncovertechnologyandprocessgaps.
.2 Limitations
Ifthesystemorprocessishighlycomplex,theprototypingprocessmaybecome
boggeddownwithdiscussionof'how'ratherthan'what',whichcanmakethe
processtakeconsiderabletime,effort,andfacilitationskill.
Underlyingtechnologymayneedtobeunderstoodorassumedinorderto
initiateprototyping.
325
.3 PrototypingMethods
Reviews
Techniques
Iftheprototypeisdeeplyelaborateanddetailed,stakeholdersmaydevelop
unrealisticexpectationsforthefinalsolution.Thesecanrangefromassumed
completiondatestohigherexpectationsofperformance,reliability,and
usability.
Stakeholdersmayfocusonthedesignspecificationsofthesolutionratherthan
therequirementsthatanysolutionmustaddress.Thiscan,inturn,constrain
thesolutiondesign.Developersmaybelievethattheymustprovideauser
interfacethatpreciselymatchestheprototype,evenifmoreeleganttechnology
andinterfaceapproachesexist.
10.37
10.37.1
Reviews
Purpose
Reviewsareusedtoevaluatethecontentofaworkproduct.
10.37.2
Description
Differenttypesofreviewsareconductedforbusinessanalysisworkproducts.
Eachistailoredtotheneedsoftheorganizationandbusinessanalyst,anduses
thesedimensions:
Objectives:definingthepurposeofthereview.
Techniques:identifyingeitheraformalorinformalwaytoperformthe
review.
Participants:identifyingwhoshouldtakepartinthereviewactivity.
Eachreviewisfocusedonaworkproduct,nottheskillsoractionsofthe
participants.Theworkproductmaybeapackageofseveraldeliverables,asingle
deliverable,aportionofadeliverable,orworkinprocess.Foracompletedwork
product,theobjectiveofthereviewisusuallytoremovedefectsorinformthe
reviewersaboutthecontent.Forworkinprocess,thereviewmaybeconducted
toresolveanissueorquestion.
Eachreviewincludesthebusinessanalystasaparticipant.Reviewersmaybe
peers,especiallyforworkinprocess,orstakeholders,whovalidatethatthework
productiscompleteandcorrect.Thereviewstepsdependonthetechniqueused.
Reviewscaninclude:
anoverviewoftheworkproductandreviewobjectives,
checklistsandreferencematerialsthatcanbeusedbyreviewers,
reviewingtheworkproductanddocumentingthefindings,and
verifyinganyrework.
Usingfeedbackfromreviewers,thebusinessanalystupdatestheworkproduct.
326
Techniques
10.37.3
Reviews
Elements
.1 Objectives
Objectivesareclearlycommunicatedtoallparticipantspriortothereview.
Objectivesmayincludeoneormoregoals,forexample:
toremovedefects,
toensureconformancetospecificationsorstandards,
toensuretheworkproductiscompleteandcorrect,
toestablishconsensusonanapproachorsolution,
toansweraquestion,resolveanissue,orexplorealternatives,
tomeasureworkproductquality.
.2 Techniques
Reviewscanbeformalorinformal.Thetechniquesusedduringarevieware
selectedtosupporttheobjectivesofthereview.
Thefollowingtechniquesarecommonlyusedbybusinessanalystswhen
conductingreviews:
Inspection:aformaltechniquethatincludesanoverviewofthework
product,individualreview,loggingthedefects,teamconsolidationof
defects,andfollowuptoensurechangesweremade.Thefocusisto
removedefectsandcreateahighqualityworkproduct.Whileusually
performedbypeers,itcanalsobeusedforstakeholderreviews.
FormalWalkthrough(alsoknownasTeamReview):aformal
techniquethatusestheindividualreviewandteamconsolidationactivities
oftenseenininspection.Walkthroughsareusedforpeerreviewsandfor
stakeholderreviews.
SingleIssueReview(alsoknownasTechnicalReview):aformal
techniquefocusedoneitheroneissueorastandardinwhichreviewers
performacarefulexaminationoftheworkproductpriortoajointreview
sessionheldtoresolvethematterinfocus.
InformalWalkthrough:aninformaltechniqueinwhichthebusiness
analystrunsthroughtheworkproductinitsdraftstateandsolicits
feedback.Reviewersmaydominimalpreparationbeforethejointreview
session.
DeskCheck:aninformaltechniqueinwhichareviewerwhohasnotbeen
involvedinthecreationoftheworkproductprovidesverbalorwritten
feedback.
PassAround:aninformaltechniqueinwhichmultiplereviewersprovide
verbalorwrittenfeedback.Theworkproductmaybereviewedina
commoncopyoftheworkproductorpassedfromonepersontothenext.
327
toeducatereviewersabouttheworkproduct,and
Reviews
Techniques
Adhoc:aninformaltechniqueinwhichthebusinessanalystseeksinformal
revieworassistancefromapeer.
.3 Participants
Participantrolesinvolvedinanyparticularreviewdependontheobjectivesofthe
review,theselectedtechnique,andanyorganizationalstandardsthatmaybein
place.
Insomesituations,asupervisorormanagermaybeoneofthereviewersbecause
oftheirexpertise.Inthesesituations,themoderatoriscarefultoavoidadversely
affectingthelevelofcandourofotherparticipantsorinappropriatelyaffecting
decisionsoftheteam.
Table10.37.1:ReviewRoles
Role
Description
Responsibility
Applicable
Techniques
Author
Authorofthe
workproduct.
Answersquestionsabouttheworkproductand
listenstosuggestionsandcomments.
Incorporateschangesintotheworkproductafter
thereview.
All
Reviewer
Apeeror
stakeholder.
Examinestheworkproductaccordingtothe
reviewobjectives.Fordefectdetectionreviews,
thereviewerexaminestheworkproductpriorto
areviewsessionandkeepstrackofbothdefects
foundandsuggestionsforimprovement.
All
Facilitator
Aneutral
facilitator
(shouldnotbe
theauthorin
ordertoavoid
compromising
thereview).
Facilitatesthereviewsession,keepsparticipants
focusedontheobjectivesofthereviewand
ensuresthateachrelevantsectionofthework
productiscovered.Validatesthatreviewershave
examinedtheworkproductbeforethesession
beginsandensuresthatallreviewersparticipate
inthereviewsession.
Inspection
Aneutral
participantwith
strong
communication
skills.
Documentsalldefects,suggestions,comments,
issues,concerns,andoutstandingquestionsthat
areraisedduringareviewsession.Familiaritywith
thesubjectmatterenablesthescribetocapture
itemsclearly.
Inspection
Scribe
10.37.4
Formal
walkthrough
Maybehelpful
forsingleissue
review
Formaland
informal
walkthrough
UsageConsiderations
.1 Strengths
Canhelpidentifydefectsearlyintheworkproductlifecycle,eliminatingthe
needforexpensiveremovalofdefectsdiscoveredlaterinthelifecycle.
Allpartiesinvolvedinareviewbecomeengagedwiththefinaloutcomethey
haveavestedinterestinaqualityresult.
328
Techniques
RiskAnalysisandManagement
Deskchecksandpassaroundreviewscanbeperformedbyareviewerata
convenienttime,ratherthaninterruptingworkinprogresstoattendameeting.
.2 Limitations
Rigorousteamreviewstaketimeandeffort.Thus,onlythemostcriticalwork
productsmightbereviewedusinginspectionorformalwalkthrough
techniques.
Informalreviewsbyoneortworeviewersarepracticalintermsoftheeffort
required,buttheyprovidelessassuranceofremovingallsignificantdefects
thanusingalargerteamandmoreformalprocess.
Fordeskchecksandpassaroundreviewsitmaybedifficultfortheauthorto
validatethatanindependentreviewwasdonebyeachparticipant.
10.38
10.38.1
Purpose
Riskanalysisandmanagementidentifiesareasofuncertaintythatcould
negativelyaffectvalue,analyzesandevaluatesthoseuncertainties,anddevelops
andmanageswaysofdealingwiththerisks.
10.38.2
Description
Failuretoidentifyandmanagerisksmaynegativelyaffectthevalueofthe
solution.Riskanalysisandmanagementinvolvesidentifying,analyzing,and
evaluatingrisks.Wheresufficientcontrolsarenotalreadyinplace,business
analystsdevelopplansforavoiding,reducing,ormodifyingtherisks,andwhen
necessary,implementingtheseplans.
Riskmanagementisanongoingactivity.Continuousconsultationand
communicationwithstakeholdershelpstobothidentifynewrisksandtomonitor
identifiedrisks.
10.38.3
Elements
.1 RiskIdentification
Risksarediscoveredandidentifiedthroughacombinationofexpertjudgment,
stakeholderinput,experimentation,pastexperiences,andhistoricalanalysisof
similarinitiativesandsituations.Thegoalistoidentifyacomprehensivesetof
relevantrisksandtominimizetheunknowns.Riskidentificationisanongoing
activity.
329
Ifreviewcommentsaresharedanddiscussedviaemailtheremaybemany
messagestoprocess,whichmakesitdifficultfortheauthortoresolve
disagreementsordifferencesinsuggestedchanges.
Techniques
Ariskeventcouldbeoneoccurrence,severaloccurrences,orevenanon
occurrence.Ariskconditioncouldbeoneconditionoracombinationof
conditions.Oneeventorconditionmayhaveseveralconsequences,andone
consequencemaybecausedbyseveraldifferenteventsorconditions.
Eachriskcanbedescribedinariskregisterthatsupportstheanalysisofthoserisks
andplansforaddressingthem.
Figure10.38.1:ExampleofaRiskRegister
#
RiskEventor
Consequence
Condition
1 Iftheunion
doesnot
agreewith
changesto
job
descriptions
2 Ifsubject
matter
expertsare
notavailable
for
requirements
elicitation
3 Ifan
insufficient
numberof
customers
replytoour
survey
4 Ifthe
organizationa
lstructure
doesnot
adjusttothe
newbusiness
processes
Probability
Impact
Risk
Level
Risk
Modification
Plan
Medium Medium Begin

consultations
withtheunion
nolaterthan
nextmonth
ResidualRisk
Risk
Owner
Probability
Impact
Risk
Level
Marta
Low
Low
Low
thenplanned
staffchanges
willnotbe
abletooccur
Medium
thenscope
andquality
willbe
reduced,and
thedelivery
datewillbe
pushedback
Medium
High
High
Developaplan
forwhenthe
SMEsare
required,hold
onsite
workshopsand
obtain
agreement
fromthe
sponsorabout
their
participation
Deepak
Low
Medium
Low
thenwewill
nothavea
representative
sampleof
customer
requirements
Medium
High
High
Contractwith
afirmthat
specializesin
survey
management
todevelopand
runthesurvey
Franois
Low
Medium
Low
thenthe
enterprisewill
notbeableto
achievethe
planned
efficiencies
andthe
businessneed
willnotbe
met
High
High
High
Thebusiness
sponsormust
approvethe
organizational
changesprior
todeployment,
andthe
changesmust
occurpriorto
deployment
Jiahui
Medium
Low
Medium
.2 Analysis
Analysisofariskinvolvesunderstandingtherisk,andestimatingthelevelofa
risk.Sometimescontrolsmayalreadybeinplacetodealwithsomerisks,and
theseshouldbetakenintoaccountwhenanalyzingtherisk.
330
Techniques
Thelikelihoodofoccurrencecouldbeexpressedeitherasaprobabilityona
numericalscaleorwithvaluessuchasLow,Medium,andHigh.
Theconsequencesofariskaredescribedintermsoftheirimpactonthepotential
value.Theimpactofanyriskcanbedescribedintermsofcost,duration,solution
scope,solutionquality,oranyotherfactoragreedtobythestakeholderssuchas
reputation,compliance,orsocialresponsibility.
Table10.38.1:ExampleofaRiskImpactScale
Quality
Cost
Effort
Duration Reputation
Low
Impact
Minorareas
ofscopeare
affected
Minor
quality
problems
Lessthan Lessthan Delayof

1%cost
2%extra upto
impact
days
3%
effort
Veryminor
impactto
enterprises
reputation
Minor
impediment
Medium
Impact
Majorareas
ofscopeare
affected,but
workarounds
arefeasible
Significant
quality
issues,but
the
productis
stillusable
More
than1%
butless
than3%
impact
2%10% Delayof
extradays 3%
effort
10%
Moderate
impactto
enterprises
reputation
Major
impediment
High
Impact
Theproduct The
More
doesnot
productis than3%
meetthe
notusable impact
business
need
More
than10%
extradays
effort
Severe
impactto
enterprises
reputation
Severe
impediment
Delayof
more
than
10%
Social
Responsibility
Whileanenterprisemayhaveastandardorbaselineriskimpactscale,the
categorieslikecost,effort,andreputation,andthethresholdsmaybeadjustedto
considerthepotentialvalueandthelevelofriskthatisacceptable.Typically,three
tofivebroadcategoriesoflevelareusedtodescribehowtointerpretthe
potentialimpact.
Thelevelofagivenriskmaybeexpressedasafunctionoftheprobabilityof
occurrenceandtheimpact.Inmanycases,itisasimplemultiplicationof
probabilityandimpact.Therisksareprioritizedrelativetoeachotheraccordingto
theirlevel.Riskswhichcouldoccurintheneartermmaybegivenahigherpriority
thanriskswhichareexpectedtooccurlater.Risksinsomecategoriessuchas
reputationorcompliancemaybegivenhigherprioritythanothers.
.3 Evaluation
Theriskanalysisresultsarecomparedwiththepotentialvalueofthechangeorof
thesolutiontodetermineifthelevelofriskisacceptableornot.Anoverallrisk
levelmaybedeterminedbyaddingupalltheindividualrisklevels.
331
Scope
Techniques
.4 Treatment
Somerisksmaybeacceptable,butforotherrisksitmaybenecessarytotake
measurestoreducetherisk.
Oneormoreapproachesfordealingwithariskmaybeconsidered,andany
combinationofapproachescouldbeusedtoaddressarisk:
Avoid:eitherthesourceoftheriskisremoved,orplansareadjustedto
ensurethattheriskdoesnotoccur.
Transfer:theliabilityfordealingwiththeriskismovedto,orsharedwith,a
thirdparty.
Mitigate:reducetheprobabilityoftheriskoccurringorthepossible
negativeconsequencesiftheriskdoesoccur.
Accept:decidenottodoanythingabouttherisk.Iftheriskdoesoccur,a
workaroundwillbedevelopedatthattime.
Increase:decidetotakeonmorerisktopursueanopportunity.
Oncetheapproachfordealingwithaspecificriskisselected,ariskresponseplan
isdevelopedandassignedtoariskownerwithresponsibilityandauthorityfor
thatrisk.Inthecaseofriskavoidance,theriskownertakesstepstoensurethat
theprobabilityortheimpactoftheriskisreducedtonil.Forthoseriskswhich
cannotbereducedtonil,theriskownerisresponsibleformonitoringtherisk,and
forimplementingariskmitigationplan.
Theriskisreanalyzedtodeterminetheresidualriskwhichisthenewprobability
andnewimpactasaresultofthemeasurestakentomodifytherisk.Therecould
beacostbenefitanalysisdonetodetermineifthecostandeffortofthemeasures
reducesthelevelofriskenoughtomakeitworthwhile.Therisksmaybere
evaluatedintermsoftheresidualrisk.
Stakeholdersshouldbeinformedoftheplansformodifyingtherisks.
10.38.4
UsageConsiderations
.1 Strengths
Canbeappliedtostrategicriskswhichaffectlongtermvalueoftheenterprise,
tacticalriskswhichaffectthevalueofachange,andoperationalriskswhich
affectthevalueofasolutiononcethechangeismade.
Anorganizationtypicallyfacessimilarchallengesonmanyofitsinitiatives.The
successfulriskresponsesononeinitiativecanbeusefullessonslearnedfor
otherinitiatives.
Therisklevelofachangeorofasolutioncouldvaryovertime.Ongoingrisk
managementhelpstorecognizethatvariation,andtoreevaluatetherisksand
thesuitabilityoftheplannedresponses.
332
Techniques
RolesandPermissionsMatrix
.2 Limitations
Thenumberofpossibleriskstomostinitiativescaneasilybecome
unmanageablylarge.Itmayonlybepossibletomanageasubsetofpotential
risks.
Thereisthepossibilitythatsignificantrisksarenotidentified.
10.39
10.39.1
Purpose
Description
Roleandpermissionallocationinvolvesidentifyingroles,associatingthesewith
solutionactivities,andthendenotingauthoritieswhocanperformthese
activities.Aroleisalabelforagroupofindividualswhosharecommonfunctions.
Eachfunctionisportrayedasoneormoresolutionactivities.Asingleactivitycan
beassociatedwithoneormorerolesbydesignatingauthorities.Eachindividual
thatisassignedthisauthoritycanperformtheassociatedactivity.
Thefollowingisanexampleofarolesandpermissionsmatrixforasoftware
system.
Modifyaccount
Createorder
Viewreports
Createreports
333
Customer
Activity
Sales
Manager
Createnewaccount
RolesandPermissions
Matrix
RoleGroup2
Administrator
Figure10.39.1:RolesandPermissionsMatrix
RoleGroup1
10.39.2
Arolesandpermissionsmatrixisusedtoensurecoverageofactivitiesbydenoting
responsibility,toidentifyroles,todiscovermissingroles,andtocommunicate
resultsofaplannedchange.
10.39.3
Techniques
Elements
.1 IdentifyingRoles
Toidentifyrolesforeitherinternalorexternalstakeholders,businessanalysts:
reviewanyorganizationalmodels,jobdescriptions,proceduremanuals,and
systemuserguides,and
meetwithstakeholderstouncoveradditionalroles.
Throughthisreviewanddiscussion,thebusinessanalystconsidersboththat
individualswiththesamejobtitlemayhavedifferentrolesandthatindividuals
withdifferentjobtitlesmayhavethesameroles.
Whenidentifyingroles,businessanalystslookforcommonfunctionsthatare
performedbyindividualswithsimilarneeds.
.2 IdentifyingActivities
Businessanalystsfrequentlyusefunctionaldecompositiontobreakdowneach
functionintosubparts,processmodellingtobetterunderstandtheworkflow
anddivisionofworkamongusers,andusecasestorepresenttasks.By
performingthesetechniques,thebusinessanalystcanensurethatallfunctions
areaccountedforandtheiractivitiesareidentifiedamongvarioususecase
scenarios.
Theremaybedifferentlevelsofabstractionforrolesandpermissionmatrices
basedonthebusinessanalysisperspective.Initiativelevelrolesandresponsibilities
maybeidentifiedinaRACI(Responsible,Accountable,Consulted,Informed)
matrix.Specificinformationtechnologysystemrolesandresponsibilitiesmaybe
identifiedinaCRUD(Create,Read,Update,andDelete)matrix.
.3 IdentifyingAuthorities
Authoritiesareactionsthatidentifiedrolesarepermittedtoperform.Foreach
activity,thebusinessanalystidentifiestheauthoritiesforeachrole.When
identifyingauthorities,businessanalystsconsiderthelevelofsecurityneededand
howtheworkflowsthroughtheprocess.Businessanalystscollaboratewith
stakeholderstovalidateidentifiedauthorities.
.4 Refinements
Delegations
Thebusinessanalystmayalsoidentifywhichauthoritiescanbedelegatedbyone
individualtoanotheronashorttermorpermanentbasis.
Inheritances
Stakeholdersmayrequestthatwhenanindividualisassignedanauthorityatan
organizationalhierarchylevelthatthisassignmentpertaintoonlythatusers
organizationallevelandanysubsidiaryorganizationalunitlevels.
334
Techniques
10.39.4
RootCauseAnalysis
UsageConsiderations
.1 Strengths
Providesproceduralchecksandbalances,aswellasdatasecurity,byrestricting
individualsfromperformingcertainactions.
Promotesimprovedreviewoftransactionhistory,inthatauditlogscancapture
detailsaboutanyassignedauthoritiesatthetime.
Providesdocumentedrolesandresponsibilitiesforactivities.
.2 Limitations
10.40
10.40.1
RootCauseAnalysis
Purpose
Rootcauseanalysisisusedtoidentifyandevaluatetheunderlyingcausesofa
problem.
10.40.2
Description
Rootcauseanalysisisasystematicexaminationofaproblemorsituationthat
focusesontheproblem'soriginastheproperpointofcorrectionratherthan
dealingonlywithitseffects.Itappliesaniterativeanalysisapproachinorderto
takeintoaccountthattheremightbemorethanonerootcausecontributingto
theeffects.Rootcauseanalysislooksatthemaintypesofcausessuchaspeople
(humanerror,lackoftraining),physical(equipmentfailure,poorfacility),or
organizational(faultyprocessdesign,poorstructure).
Rootcauseanalysishelpsorganizetheinformationinaframework,whichallows
fordeeperanalysisifneeded.Rootcauseanalysiscanbeusedfor:
ReactiveAnalysis:identifyingtherootcause(s)ofanoccurringproblem
forcorrectiveaction,or
ProactiveAnalysis:identifyingpotentialproblemareasforpreventive
action.
Rootcauseanalysisusesfourmainactivities:
ProblemStatementDefinition:describestheissuetobeaddressed.
DataCollection:gathersinformationaboutthenature,magnitude,
location,andtimingoftheeffect.
CauseIdentification:investigatesthepatternsofeffectstodiscoverthe
specificactionsthatcontributetotheproblem.
335
Needtorecognizetherequiredlevelofdetailforaspecificinitiativeoractivity
toomuchdetailcanbetimeconsumingandnotprovidevalue,toolittledetail
canexcludenecessaryrolesorresponsibilities.
RootCauseAnalysis
Techniques
ActionIdentification:definesthecorrectiveactionthatwillpreventor
minimizerecurrence.
10.40.3
Elements
.1 TheFishboneDiagram
Afishbonediagram(alsoknownasanIshikawaorcauseandeffectdiagram)is
usedtoidentifyandorganizethepossiblecausesofaproblem.Thistoolhelpsto
focusonthecauseoftheproblemversusthesolutionandorganizesideasfor
furtheranalysis.Thediagramservesasamapthatdepictspossiblecauseand
effectrelationships.
Stepstodevelopafishbonediagraminclude:
Step1.
Capturingtheissueorproblemunderdiscussioninaboxatthe
topofthediagram.
Step2.
Drawingalinefromtheboxacrossthepaperorwhiteboard
(formingthespineofthefishbone).
Step3.
Drawingdiagonallinesfromthespinetorepresentcategoriesof
potentialcausesoftheproblem.Thecategoriesmayinclude
people,processes,tools,andpolicies.
Step4.
Drawingsmallerlinestorepresentdeepercauses.
Step5.
Brainstormingcategoriesandpotentialcausesoftheproblemand
capturingthemundertheappropriatecategory.
Step6.
Analyzingtheresults.Rememberthatthegrouphasidentified
onlypotentialcausesoftheproblem.Furtheranalysisisneededto
validatetheactualcause,ideallywithdata.
Step7.
Brainstormingpotentialsolutionsoncetheactualcausehasbeen
identified.
Figure10.40.1:FishboneDiagram
Category1
PrimaryCause
Category2
TertiaryCause
Effect
SecondaryCause
Category3
CategoryN
336
Techniques
RootCauseAnalysis
.2 TheFiveWhys
Thefivewhysisaquestionaskingprocesstoexplorethenatureandcauseofa
problem.Thefivewhysapproachrepeatedlyasksquestionsinanattempttoget
totherootcauseoftheproblem.Thisisoneofthesimplestfacilitationtoolsto
usewhenproblemshaveahumaninteractioncomponent.
Tousethistechnique:
Step1.
Writetheproblemonaflipchartorwhiteboard.
Step2.
Ask"Whydoyouthinkthisproblemoccurs?"andcapturethe
ideabelowtheproblem.
Step3.
Ask"Why?"againandcapturethatideabelowthefirstidea.
Thefivewhyscanbeusedaloneoraspartofthefishbonediagramtechnique.
Onceallideasarecapturedinthediagram,usethefivewhysapproachtodrill
downtotherootcauses.
10.40.4
UsageConsiderations
.1 Strengths
Helpstomaintainanobjectiveperspectivewhenperformingcauseandeffect
analysis.
Enablesstakeholderstospecifyaneffectivesolutionattheappropriatepoints
forcorrectiveaction.
.2 Limitations
Worksbestwhenthebusinessanalysthasformaltrainingtoensuretheroot
causes,notjustsymptomsoftheproblem,areidentified.
Maybedifficultwithcomplexproblemsthepotentialexiststoleadtoafalse
trailand/ordeadendconclusion.
337
Continuewithstep3untilyouareconvincedtheactualrootcausehasbeen
identified.Thismaytakemoreorlessthanfivequestionsthetechniqueiscalled
thefivewhysbecauseitoftentakesthatmanytoreachtherootcause,not
becausethequestionmustbeaskedfivetimes.
ScopeModelling
10.41
10.41.1
Techniques
ScopeModelling
Purpose
Scopemodelsdefinethenatureofoneormorelimitsorboundariesandplace
elementsinsideoroutsidethoseboundaries.
10.41.2
Description
Scopemodelsarecommonlyusedtodescribetheboundariesofcontrol,change,
asolution,oraneed.Theymayalsobeusedtodelimitanysimpleboundary(as
distinctfromhorizons,emergentproperties,andrecursivesystems).
Thesemodelsmayshowelementsthatinclude:
Inscope:themodelidentifiesaboundaryasseenfrominside,aswellas
theelementscontainedbythatboundary(forexample,functional
decomposition).
Outofscope:themodelidentifiesaboundaryasseenfromoutside,as
wellastheelementsthatarenotcontainedbythatboundary(forexample,
contextdiagram).
Both:themodelidentifiesaboundaryasseenfrombothsides,aswellas
elementsonbothsidesoftheboundary(forexample,venndiagramoruse
casemodel).
Scopemodelsprovidethebasisforunderstandingtheboundariesof:
ScopeofControl:whatisbeinganalyzed,rolesandresponsibilities,and
whatisinternalandexternaltotheorganization.
ScopeofNeed:stakeholderneeds,valuetobedelivered,functionalareas,
andorganizationalunitstobeexplored.
ScopeofSolution:requirementsmet,valuedelivered,andimpactof
change.
ScopeofChange:actionstobetaken,stakeholdersaffectedorinvolved,
andeventstocauseorprevent.
Scopemodelsaretypicallyrepresentedasacombinationofdiagrams,matrices,
andtextualexplanations.Ifthescopeisimplementedinphasesoriterations,the
scopemodelshouldbedescribedpereachphaseoriteration.
10.41.3
Elements
.1 Objectives
Scopemodelsaretypicallyusedtoclarifythe:
spanofcontrol,
relevanceofelements,and
whereeffortwillbeapplied.
338
Techniques
ScopeModelling
Dependingontheactionorstakeholderneedsthemodelsupports,abusiness
analystdeterminesthetypesofmodelstobeusedandselectsboundariesand
elements.
.2 ScopeofChangeandContext
Typically,businessanalystsareconcernedwithelementsthatwillbealteredas
partofachange,aswellasexternalelementsthatarerelevanttothechange.For
elementsinsidethescopeofchange,thebusinessanalystisinvolvedin
establishingthewaysthoseelementsaremodified.Forelementsoutsidethe
scopeofchangebutrelevanttothechange,thebusinessanalystisinvolvedin
establishingtheinteractionsbetweenthechange,thecurrentandproposed
solutions,andthecontext.
Thebusinessanalystoftendetermines:
businessfunctionstobeadded,changed,optimized,orreassigned,
newcapabilitiestobebuiltorexistingcapabilitiestobechanged,
externalandinternaleventstoberespondedto,
usecasesandsituationstobesupported,
technologiestobechangedorreplaced,
informationalassetstobeacquired,produced,orprocessed,
stakeholdersandorganizationalrolesimpactedbythechange,
externalandinternalagentsandentitiesimpactedbythechange,
organizationsandorganizationalunits(departments,teams,groups)
impactedbythechange,and
systems,components,tools,andphysicalassetsrequiredforthechangeor
impactedbythechange.
.3 LevelofDetail
Thepurposeofanalysisdefinestheappropriatelevelofabstractionatwhich
scopeelementsaredescribed.Aproperlevelofdetailprovidesameaningful
reductionofuncertaintywhilepreventing'analysisparalysis'atascopedefinition
stage.Theelementsofthefinalscopemodelcanbedescribedbyenumerating
them,byreferringtoaspecificleveloftheirdecompositionhierarchy,orby
groupingthemintologicallyboundsets.Forexample,asubjectofchangecanbe
definedasalistofspecificbusinessprocesses,asahighlevelbusinessprocess
encompassingallofthem,orasagenericbusinessfunction.Similarly,
stakeholdersincludedinthescopecanbedefinedbyenumeratingspecifictitles
orbyreferringtotheircommonorganizationalrole.
339
businessprocessestobedefinedormodified,
ScopeModelling
Techniques
.4 Relationships
Exploringrelationshipsbetweenpotentialscopeelementshelpstoensure
completenessandintegrityofthescopemodelbyidentifyingtheirdependencies
orbydiscoveringotherelementsinvolvedinorimpactedbythechange.
Variousdiagrammingtechniquesareavailableforexploringrelationshipsof
specifictypes,including:
ParentChildorCompositionSubset:relateselementsofthesametype
bywayofhierarchicaldecomposition.Relationshipsofthistypeappearas
anorganizationchart,inaclassorentityrelationshipdiagram,assub
processesinabusinessprocessmodel,orascompositestatesonastate
diagram.
FunctionResponsibility:relatesafunctionwiththeagent(stakeholder,
organizationalunit,orsolutioncomponent)thatisresponsibleforits
execution.Relationshipsofthistypeappearonbusinessprocessmodelsand
oncollaboration,sequence,andusecasediagrams.
SupplierConsumer:relateselementsbywayofthetransmissionof
informationormaterialsbetweenthem.Elementscanbeprocesses,
systems,solutioncomponents,andorganizationalunits,forbothinternal
andexternalentities.Relationshipsofthistypeoccurindataflowdiagrams,
businessprocessmodels,andincollaboration,sequence,androbustness
diagrams.
CauseEffect:relateselementsbylogicalcontingencyinordertoidentify
chainsofassociatedelementsthatareinvolvedinorimpactedbythe
change.Relationshipsofthistypeappearinfishbone(Ishikawa)diagrams
andothercauseeffectdiagrams.
Emergent:inmostcomplexsystems,severalelementscaninteractto
produceresultsthatcannotbepredictedorunderstoodbasedonthe
componentsalone.
.5 Assumptions
Atatimeofscopemodelling,thevalidityofthemodelheavilyrelieson
assumptionssuchasthedefinitionofneeds,causalityofoutcomes,impactof
changes,applicability,andfeasibilityofthesolution.Theresultingscopemodel
shouldincludeexplicitstatementsofcriticalassumptionsandtheirimplications.
.6 ScopeModellingResults
Resultsofscopemodellingcanberepresentedas:
textualdescriptionsofelements,includingcriteriaformakinginscopeor
outofscopedecisions,
diagramsillustratingrelationshipsofscopeelements,and
matricesdepictingdependenciesbetweenscopeelements.
340
Techniques
10.41.4
SequenceDiagrams
UsageConsiderations
.1 Strengths
Ascopemodelfacilitatesagreementasabasisfor:
definingcontractualobligations,
estimatingtheprojecteffort,
justifyinginscope/outofscopedecisionsinrequirementsanalysis,and
assessingthecompletenessandimpactofsolutions.
.2 Limitations
Onceascopeisdefined,changingitmaybedifficultduetopoliticalreasons
andcontractualobligations.Meanwhile,manyfactorscanaffectthescope
validitybeforethetargetsareachieved.Suchfactorsaswronginitial
assumptions,situationchange,evolutionofstakeholderneeds,ortechnology
innovationsmaycauseaneedforrevisingthescopepartiallyorentirely.
Traditionalscopemodelscannotaddresscommoncomplexboundaries,suchas
ahorizon(aboundarythatiscompletelydependentonthepositionofthe
stakeholder).
10.42
10.42.1
SequenceDiagrams
Purpose
Sequencediagramsareusedtomodelthelogicofusagescenariosbyshowing
theinformationpassedbetweenobjectsinthesystemthroughtheexecutionof
thescenario.
10.42.2
Description
Asequencediagramshowshowprocessesorobjectsinteractduringascenario.
Theclassesrequiredtoexecutethescenarioandthemessagestheypasstoone
another(triggeredbystepsintheusecase)aredisplayedonthediagram.The
sequencediagramshowshowobjectsusedinthescenariointeract,butnothow
theyarerelatedtooneanother.Sequencediagramsarealsooftenusedtoshow
howuserinterfacecomponentsorsoftwarecomponentsinteract.
Thediagramrepresentsinformationinahorizontalandverticalalignment.The
objectsthatsendmessagestoeachotherarerepresentedasboxesthatare
alignedatthetopofthepagefromthelefttotheright,witheachobject
occupyingacolumnofspaceonthepageborderedbyaverticallinestretching
downtothebottomofthepage.Themessagesthataresentfromoneobjectto
341
Aninitial,highlevelmodelcanlackasufficientlevelofgranularity,particularly
forboundaryelements,thatisneededtoensureclearscopeidentification.
SequenceDiagrams
Techniques
thenextarerepresentedashorizontalarrows.Theorderofthemessagesis
representedinatopdownandlefttorightsequencebeginningwiththefirst
messageatthetopleftofthepageandsubsequentmessagesoccurringtothe
rightandbelow.Sequencediagramsaresometimescalledeventdiagrams.
ThestandardnotationforsequencediagramsisdefinedaspartoftheUnified
ModellingLanguage(UML )specification.
10.42.3
Elements
.1 Lifeline
Alifelinerepresentsthelifespanofanobjectduringthescenariobeingmodelled
inasequencediagram.Theexamplebelowshowstheobjectorder.Alifelineis
drawnasadashedlinethatverticallydescendsfromeachobjectboxtothe
bottomofthepage.
Figure10.42.1:Lifeline
.2 ActivationBox
Anactivationboxrepresentstheperiodduringwhichanoperationisexecuted.A
calltoactivateisrepresentedbyanarrowwithasolidarrowheadleadingtothe
activationobject.ThelifelinecanbeterminatedwithanX.
Figure10.42.2:ActivationBox
.3 Message
Amessageisaninteractionbetweentwoobjects.Amessageisshownasan
arrowcomingfromtheactivationboxoftheobjectthatsendsthemessagetothe
342
Techniques
SequenceDiagrams
activationboxoftheobjectthatreceivesthemessage.
Thenameofthemessageisplacedontopofthearrowedline.Therearedifferent
typesofmessages:
SynchronousCall:transferscontroltothereceivingobject.Thesender
cannotactuntilareturnmessageisreceived.
AsynchronousCall:(alsoknownasasignal)allowstheobjecttocontinue
withitsownprocessingaftersendingthesignal.Theobjectmaysendmany
signalssimultaneously,butmayonlyacceptonesignalatatime.
Figure10.42.3:Message
Object1
Object2
Object3
Synchronous
Message
Asynchronous
Message
Response
Execution
Specification
X
Destruction
Lifeline
10.42.4
UsageConsiderations
.1 Strengths
Showstheinteractionbetweentheobjectsofasysteminthechronological
orderthattheinteractionsoccur.
Showstheinteractionbetweentheobjectsinavisualmannerthatallowsthe
logictobevalidatedbystakeholderswithrelativeease.
Usecasescanberefinedintooneormoresequencediagramsinorderto
provideaddeddetailandamoreindepthunderstandingofabusinessprocess.
.2 Limitations
Timeandeffortcanbewastedcreatingacompletesetofsequencediagrams
foreachusecaseofasystem,whichmaynotbenecessary.
Havehistoricallybeenusedformodellingsystemflowsandmaybeconsidered
tootechnicalinothercircumstances.
343
Call
StakeholderList,Map,orPersonas
10.43
10.43.1
Techniques
Purpose
Stakeholderlists,maps,andpersonasassistthebusinessanalystinanalyzing
stakeholdersandtheircharacteristics.Thisanalysisisimportantinensuringthat
thebusinessanalystidentifiesallpossiblesourcesofrequirementsandthatthe
stakeholderisfullyunderstoodsodecisionsmaderegardingstakeholder
engagement,collaboration,andcommunicationarethebestchoicesforthe
stakeholderandforthesuccessoftheinitiative.
10.43.2
Description
Stakeholderanalysisinvolvesidentifyingthestakeholdersthatmaybeaffectedby
aproposedinitiativeorthatshareacommonbusinessneed.Stakeholderanalysis
notes,considers,andanalyzesthevariouscharacteristicsoftheidentified
stakeholders.
Commontypesofstakeholdercharacteristicsthatareworthidentifyingand
analyzinginclude:
levelofauthoritywithinthedomainofchangeandwithintheorganization,
attitudestowardorinterestinthechangebeingundertaken,
attitudestowardthebusinessanalysisworkandrole,and
levelofdecisionmakingauthority.
Fordetailsontheworkinvolvedinconductingathoroughstakeholderanalysis,
seePlanStakeholderEngagement(p.31).
Whenanalyzingstakeholders,businessanalystsutilizeoneormoretechniquesto
drawoutalistofstakeholdersandanalyzethem.Stakeholderlists,maps,and
personasarethreetoolsthatcanbeutilizedwhenconductingthiswork.
10.43.3
Elements
.1 StakeholderLists
Abusinessanalystmayapplyanumberoftechniquestogenerateastakeholder
list.Brainstormingandinterviewsaretwocommontechniquesthatcanbeused.
Thegoalistoensureathoroughlistisproducedbecausethislistiscentraltoboth
stakeholderanalysisactivitiesandtheplanningworkthebusinessanalyst
performsforelicitation,collaboration,andcommunication.
Stakeholderlistsmaybecomequitelengthy.Astheanalysisisconducted,the
businessanalystcategorizesandaddsstructuretothelist.Itisimportanttohave
anexhaustivelisttoensurethatnoimportantstakeholderorstakeholdergroup
hasbeenoverlooked,whichopensuptheriskthatrequirementswillbemissed
lateron.
344
Techniques
.2 StakeholderMap
Stakeholdermapsarediagramsthatdepicttherelationshipofstakeholderstothe
solutionandtooneanother.
Therearemanyformsofstakeholdermaps,buttwocommononesinclude:
StakeholderMatrix:mapsthelevelofstakeholderinfluenceagainstthe
levelofstakeholderinterest.
OnionDiagram:indicateshowinvolvedthestakeholdersarewiththe
solution,whichstakeholderswilldirectlyinteractwiththesolutionor
participateinabusinessprocess,whicharepartofthelargerorganization,
andwhichareoutsidetheorganization.
Figure10.43.1:StakeholderMatrix
High
Ensurestakeholder
remainssatisfied.
Workcloselywith
stakeholdertoensurethat
theyareinagreementwith
andsupportthechange.
Influenceof
Stakeholder
Monitortoensure
stakeholdersinterestor
influencedonotchange.
Keepinformedstakeholder
islikelytobeveryconcerned
andmayfeelanxiousabout
lackofcontrol.
Low
Impacton
Stakeholder
Low
High
HighInfluence/HighImpact:thestakeholdersarekeyplayersinthe
changeeffort.Thebusinessanalystshouldfocustheireffortsandengage
thisgroupregularly.
HighInfluence/LowImpact:thestakeholdershaveneedsthatshouldbe
met.Thebusinessanalystshouldengageandconsultwiththem,whilealso
attemptingtoengagethemandincreasetheirlevelofinterestwiththe
changeactivity.
LowInfluence/HighImpact:thestakeholdersaresupportersofand
potentialgoodwillambassadorsforthechangeeffort.Thebusinessanalyst
shouldengagethisgroupfortheirinputandshowinterestintheirneeds.
345
Thebusinessanalysttypicallystartstheirstakeholderanalysisbyreviewingthe
proposedscopeofthesolutionandthenanalyzingwhichgroupswillbe
impacted.Atthestartofthisanalysis,thebusinessanalystmayproducea
stakeholdermatrixtoidentifyeachstakeholderandtheirroleasitpertainstothe
developmentoftherequirements.Throughoutaproject,astakeholdersposition
onthematrixcanchangeduetoorganizational,environmental,orrequirement
scopechanges.Duetothesepotentialchanges,stakeholderanalysisisconsidered
iterativeandreviewedfrequentlybythebusinessanalyst.
Techniques
LowInfluence/LowImpact:thestakeholderscanbekeptinformedusing
generalcommunications.Additionalengagementmaymovethemintothe
goodwillambassadorquadrant,whichcanhelptheeffortgainadditional
support.
Figure10.43.2:StakeholderOnionDiagram
Customers,suppliers,
regulators,andothers.
AffectedExternalStakeholders
OrganizationorEnterprise
AffectedOrganizationalUnit
SolutionDelivery
Sponsors,executives,
domainSMEs,and
otherswhointeractwith
theaffectedgroup.
Endusers,helpdesk,
andotherswhosework
changeswhenthe
solutionisdelivered.
Projectteamandothers
directlyinvolvedwith
creatingthesolution.
.3 Responsibility(RACI)Matrix
Anotherpopularstakeholdermatrixistheresponsibility(RACI)matrix.RACI
standsforthefourtypesofresponsibilitythatastakeholdermayholdonthe
initiative:Responsible,Accountable,Consulted,andInformed.Whencompleting
aRACImatrix,itisimportanttoensurethatallstakeholdersorstakeholdergroups
havebeenidentified.FurtheranalysisisthenconductedtoassigntheRACI
designationinordertospecifythelevelofresponsibilityexpectedfromeach
stakeholderand/orgroup.Itiscommonpracticetodefineeachtermsothata
consistentunderstandingoftheassignmentandassociatedrolesareunderstood
byanystakeholdersutilizingtheRACImatrix.
Responsible(R):thepersonswhowillbeperformingtheworkonthetask.
Accountable(A):thepersonwhoisultimatelyheldaccountablefor
successfulcompletionofthetaskandisthedecisionmaker.Onlyone
stakeholderreceivesthisassignment.
Consulted(C):thestakeholderorstakeholdergroupwhowillbeaskedto
provideanopinionorinformationaboutthetask.Thisassignmentisoften
providedtothesubjectmatterexperts(SMEs).
Informed(I):astakeholderorstakeholdergroupthatiskeptuptodateon
thetaskandnotifiedofitsoutcome.InformedisdifferentfromConsulted
aswithInformedthecommunicationisonedirection(businessanalystto
stakeholder)andwithConsultedthecommunicationistwoway.
346
Techniques
Figure10.43.3:RACIMatrix
ChangeRequestProcess
RACI
A
BusinessAnalyst
ProjectManager
Developer
Tester
Trainer
ApplicationArchitect
DataModeller
DatabaseAnalyst(DBA)
InfrastructureAnalyst
BusinessArchitect
InformationArchitect
SolutionOwner
SubjectMatterExpert(SME)
OtherStakeholders
(varies)
.4 Personas
Apersonaisdefinedasafictionalcharacterorarchetypethatexemplifiestheway
atypicaluserinteractswithaproduct.Personasarehelpfulwhenthereisadesire
tounderstandtheneedsheldbyagrouporclassofusers.Althoughtheuser
groupsarefictional,theyarebuilttorepresentactualusers.Researchis
conductedtounderstandtheusergroup,andthepersonasarethencreated
baseduponknowledgeratherthanopinion.Anumberofelicitationtechniques
canbeutilizedtoconductthisresearch.Interviewsandsurveys/questionnairesare
twotechniquescommonlyusedtoelicitthisinformation.Thepersonaiswritten
innarrativeformandfocusesonprovidinginsightintothegoalsofthegroup.
Thisallowsthereadertoseethestoryfromthepointofviewofthestakeholder
group.Personashelpbringtheusertolife,whichinturnmakestheneedsfeel
realtothosewhodesignandbuildsolutions.
10.43.4
UsageConsiderations
.1 Strengths
Identifiesthespecificpeoplewhomustbeengagedinrequirementselicitation
activities.
Helpsthebusinessanalystplancollaboration,communication,andfacilitation
activitiestoengageallstakeholdergroups.
Usefultounderstandchangesinimpactedgroupsovertime.
347
ExecutiveSponsor
StateModelling
Techniques
.2 Limitations
Businessanalystswhoarecontinuouslyworkingwiththesameteamsmaynot
utilizethestakeholderanalysisandmanagementtechniquebecausethey
perceivechangeasminimalwithintheirrespectivegroups.
Assessinginformationaboutaspecificstakeholderrepresentative,suchas
influenceandinterest,canbecomplicatedandmayfeelpoliticallyrisky.
10.44
10.44.1
StateModelling
Purpose
Statemodellingisusedtodescribeandanalyzethedifferentpossiblestatesofan
entitywithinasystem,howthatentitychangesfromonestatetoanother,and
whatcanhappentotheentitywhenitisineachstate.
10.44.2
Description
Anentityisanobjectorconceptwithinasystem.Anentitymaybeusedinseveral
processes.Thelifecycleofeveryentityhasabeginningandanend.
Inastatemodel(alsosometimescalledastatetransitionmodel),astateisa
formalrepresentationofastatus.Itisusedwhenitisnecessarytohaveaprecise
andconsistentunderstandingofanentitythathascomplexbehaviourand
complexrulesaboutthatbehaviour.
Astatemodeldescribes:
asetofpossiblestatesforanentity,
thesequenceofstatesthattheentitycanbein,
howanentitychangesfromonestatetoanother,
theeventsandconditionsthatcausetheentitytochangestates,and
theactionsthatcanormustbeperformedbytheentityineachstateasit
movesthroughitslifecycle.
Whileaprocessmodelcanshowalloftheentitiesthatareusedinoraffectedby
thatprocess,astatemodelshowsacomplementaryview:whathappenstoone
entityacrossalltheprocessesthataffectitoruseit.
10.44.3
Elements
.1 State
Anentityhasafinitenumberofstatesduringitslifecycle,althoughitcanbein
morethanonestateatatime.Eachstateisdescribedwithanameandthe
activitiesthatcouldbeperformedwhileinthatstate.Theremayberulesabout
whichactivitiesmustorcanbeperformedandwhicheventsitcanrespondtoor
trigger.
348
Techniques
StateModelling
Acomplexstatecanbedecomposedintosubstates.
.2 StateTransition
Howtheentitychangesortransitionsfromonestatetoanothercouldbe
determinedbythestepsofaprocess,bybusinessrules,orbyinformation
content.Thesequenceofstatesofanentityarenotalwayslinearanentitycould
skipoverseveralstatesorreverttoapreviousstate,perhapsmorethanonce.
.3 StateDiagram
Astatediagramshowsthelifecycleofoneentity,beginningwhentheentityfirst
comesintoexistenceandmovingthroughallofthedifferentstatesthattheentity
mayhaveuntilitisdiscardedandnolongerofuse.
Astateonastatediagramisshownasarectanglewithroundedcorners.There
maybeanynumberofstates.Astatemaybedecomposedintosubstates.
Thetransitionfromonestatetoanotherstateisshownwithaonedirectional
arrowpointingfromthestartstatetothedestinationstate,optionallylabelled
withthenameoftheeventthatcausestheentitysstatetochangefromonestate
toanother,andoptionallywithconditionsandactions.
Thebeginningandendoftheentityslifecycleareshownwithspecialsymbolsfor
boththeinitialstate,whichindicatesthattheentityhascomeintoexistence,and
thefinalstate,whichindicatesthattheentityisdiscardedandthelifecycleis
complete.
Figure10.44.1:StateTransitionDiagram
InitialState
State1
State2
Transition
State3
FinalState
349
Atransitionmaybeconditional(triggeredbyaspecificeventoraconditionbeing
reached)orautomatic(triggeredbythecompletionoftherequiredactivitieswhile
inthepreviousstateorbythepassageoftime).Itmayalsoberecursive,leaving
onestateandreturningbacktothesamestate.Atransitionisdescribedinterms
oftheeventthatcausesthetransition,conditionswhichdeterminewhetheror
nottheentitymustrespondtothatevent,andactionsthatoccurinassociation
withtheevent.
SurveyorQuestionnaire
Techniques
.4 StateTables
Astatetableisatwodimensionalmatrixshowingstatesandthetransitions
betweenthem.Itcanbeusedduringelicitationandanalysiseitherasan
alternative,aprecursor,oracomplementtoastatediagram.Itisasimplewayto
getstartedonastatemodelinordertoelicitthestatenamesandeventnames
fromthedomainsubjectmatterexperts.
Eachrowshowsastartingstate,thetransition,andtheendstate.Ifonestate
couldrespondtoseveraltransitions,therewillbeaseparaterowforeach
transition.
Astatethatappearsasanendstateinonerowcouldbeastartstateinanother
row.
10.44.4
UsageConsiderations
.1 Strengths
Identifiesbusinessrulesandinformationattributesthatapplytotheentity
beingmodelled.
Identifiesanddescribestheactivitiesthatapplytotheentityatdifferentstates
oftheentity.
Isamoreeffectivedocumentationandcommunicationtoolthanplaintext,
especiallyiftheentitybeingdescribedhasmorethanafewstates,transitions,
andconditionsgoverningthosetransitions.
.2 Limitations
Isusuallyonlyusedtounderstandandcommunicateaboutinformationentities
thatareperceivedtobecomplexsimpleentitiesmaybeunderstoodwithout
thetimeandeffortrequiredtobuildastatemodel.
Buildingastatemodelappearssimpleatthestart,butachievingaconsensus
amongdomainSMEsaboutthedetailsrequiredbythemodelcanbedifficult
andtimeconsuming.
Ahighdegreeofprecisionaboutstatesandtransitionsisrequiredtobuilda
statediagramsomedomainSMEsandbusinessanalysispractitionersare
uncomfortabletryingtodescribesuchalevelofdetail.
10.45
10.45.1
Purpose
Asurveyorquestionnaireisusedtoelicitbusinessanalysisinformationincluding
informationaboutcustomers,products,workpractices,andattitudesfroma
groupofpeopleinastructuredwayandinarelativelyshortperiodoftime.
350
Techniques
10.45.2
Description
Asurveyorquestionnairepresentsasetofquestionstostakeholdersandsubject
matterexperts(SMEs),whoseresponsesarethencollectedandanalyzedinorder
toformulateknowledgeaboutthesubjectmatterofinterest.Thequestionscan
besubmittedinwrittenformorcanbeadministeredinperson,overthe
telephone,orusingtechnologythatcanrecordresponses.
Therearetwotypesofquestionsusedinasurveyorquestionnaire:
Openended:therespondentisaskedtoanswerquestionsinafreeform
withouthavingtoselectananswerfromalistofpredefinedresponses.
Openendedquestionsareusefulwhentheissuesareknownandtherange
ofuserresponsesisnot.Openendedquestionsmayresultinmoredetail
andawiderrangeofresponsesthanclosedendedquestions.The
responsestoopenendedquestionsaremoredifficultandtimeconsuming
tocategorize,quantify,andsummarizeastheyareunstructuredandoften
includesubjectivelanguagewithincompleteorsuperfluouscontent.
Questionsshouldbeaskedinawaythatdoesnotinfluencetheresponsedata.
Theyshouldbeexpressedinneutrallanguageandshouldnotbestructuredor
sequencedtoconditiontherespondenttoprovideperceiveddesirableanswers.
10.45.3
Elements
.1 Prepare
Aneffectivesurveyorquestionnairerequiresdetailedplanninginordertoensure
thattheneededinformationisobtainedinanefficientmanner.
Whenpreparingforasurveyorquestionnaire,businessanalystsdothefollowing:
Definetheobjective:aclearandspecificobjectiveestablishesadefined
purposeofthesurveyorquestionnaire.Questionsareformulatedwiththe
intentofmeetingtheobjective.
Definethetargetsurveygroup:identifyingthegrouptobesurveyedin
termsofpopulationsizeandanyperceivedvariations(forexample,culture,
language,orlocation)helpsidentifyfactorsthatcanimpactsurveydesign.
Choosetheappropriatesurveyorquestionnairetype:theobjectiveof
thesurveyorquestionnairedeterminestheappropriatecombinationof
closeendedquestionsandopenendedquestionstoelicittheinformation
required.
351
Closeended:therespondentisaskedtoselectfromalistofpredefined
responses,suchasaYes/Noresponse,amultiplechoiceselection,arank/
orderdecision,orastatementrequiringalevelofagreement.Thisisuseful
whentheanticipatedrangeofuserresponsesisfairlywelldefinedand
understood.Theresponsestocloseendedquestionsareeasiertoanalyze
thanthosegainedfromopenendedquestionsbecausetheycanbetiedto
numericalcoefficients.
Techniques
Selectthesamplegroup:considerboththesurveyorquestionnairetype
andthenumberofpeopleintheidentifiedusergroupinordertodetermine
ifitisnecessaryandfeasibletosurveytheentiregroup.Itmaybeimportant
tosurveyallmembersevenofalargegroupiftheirdemographics
indicateawidevarianceduetogeographicdistribution,regulatory
differences,orlackofstandardizationinjobfunctionorbusinessprocess.If
thepopulationislargeandthesurveytypeisopenended,itmaybe
necessarytoidentifyasubsetofuserstoengageinthequestionnaire
process.Usingastatisticalsamplingmethodwillhelpensurethatthe
sampleselectedisrepresentativeofthepopulationsothatthesurveyresults
canbereliablygeneralized.
Selectthedistributionandcollectionmethods:determinethe
appropriatecommunicationmodeforeachsamplegroup.
Setthetargetlevelandtimelineforresponse:determinewhat
responserateisacceptableandwhenitshouldbeclosedorconsidered
complete.Iftheactualresponserateislowerthantheacceptablethreshold,
theuseofthesurveyresultsmaybelimited.
Determineifthesurveyorquestionnaireshouldbesupportedwith
individualinterviews:asasurveyorquestionnairedoesnotprovidethe
depthofdatathatcanbeobtainedfromindividualinterviews,consider
eitherpreorpostsurveyorquestionnaireinterviews.
Writethesurveyquestions:ensurethatallthequestionssupportthe
statedobjectives.
Testthesurveyorquestionnaire:ausabilitytestonthesurveyidentifies
errorsandopportunitiesforimprovement.
.2 DistributetheSurveyorQuestionnaire
Whendistributingthesurveyorquestionnaireitisimportanttocommunicatethe
survey'sobjectives,howitsresultswillbeused,aswellasanyarrangementsfor
confidentialityoranonymitythathavebeenmade.
Whendecidingonamethodofdistribution(forexample,inperson,email,or
surveytool),businessanalystsconsider:
theurgencyofobtainingtheresults,
thelevelofsecurityrequired,and
thegeographicdistributionoftherespondents.
.3 DocumenttheResults
Whendocumentingtheresultsofthesurveyorquestionnaire,businessanalysts:
collatetheresponses,
summarizetheresults,
evaluatethedetailsandidentifyanyemergingthemes,
352
Techniques
SWOTAnalysis
formulatecategoriesforencodingthedata,and
breakdownthedataintomeasurableincrements.
10.45.4
UsageConsiderations
.1 Strengths
Quickandrelativelyinexpensivetoadminister.
Easiertocollectinformationfromalargeraudiencethanothertechniquessuch
asinterviews.
Doesnottypicallyrequiresignificanttimefromtherespondents.
Effectiveandefficientwhenstakeholdersaregeographicallydispersed.
Whenusingopenendedquestions,surveyresultsmayyieldinsightsand
opinionsnoteasilyobtainedthroughotherelicitationtechniques.
.2 Limitations
Toachieveunbiasedresults,specializedskillsinstatisticalsamplingmethodsare
neededwhensurveyingasubsetofpotentialrespondents.
Theresponseratesmaybetoolowforstatisticalsignificance.
Useofopenendedquestionsrequiresmoreanalysis.
Ambiguousquestionsmaybeleftunansweredoransweredincorrectly.
Mayrequirefollowupquestionsormoresurveyiterationsdependingonthe
answersprovided.
10.46
10.46.1
SWOTAnalysis
Purpose
SWOTanalysisisasimpleyeteffectivetoolusedtoevaluateanorganization's
strengths,weaknesses,opportunities,andthreatstobothinternalandexternal
conditions.
10.46.2
Description
SWOTanalysisisusedtoidentifytheoverallstateofanorganizationboth
internallyandexternally.
ThelanguageusedinaSWOTanalysisisbrief,specific,realistic,andsupportedby
evidence.SWOTanalysisservesasanevaluationofanorganizationagainst
identifiedsuccessfactors.SWOTcanbeperformedatanyscalefromthe
353
Whenusingclosedendedquestions,surveyscanbeeffectiveforobtaining
quantitativedataforuseinstatisticalanalysis.
SWOTAnalysis
Techniques
enterpriseasawholetoadivision,abusinessunit,aproject,orevenan
individual.ByperformingSWOTinadisciplinedway,stakeholderscanhavea
clearerunderstandingoftheimpactofanexistingsetofconditionsonafuture
setofconditions.
ASWOTanalysiscanbeusedto:
evaluateanorganization'scurrentenvironment,
shareinformationlearnedwithstakeholders,
identifythebestpossibleoptionstomeetanorganizationsneeds,
identifypotentialbarrierstosuccessandcreateactionplanstoovercome
barriers,
adjustandredefineplansthroughoutaprojectasnewneedsarise,
identifyareasofstrengththatwillassistanorganizationinimplementing
newstrategies,
developcriteriaforevaluatingprojectsuccessbasedonagivensetof
requirements,
identifyareasofweaknessthatcouldundermineprojectgoals,and
developstrategiestoaddressoutstandingthreats.
10.46.3
Elements
SWOTisanacronymforStrengths,Weaknesses,Opportunities,andThreats:
Strengths(S):anythingthattheassessedgroupdoeswell.Mayinclude
experiencedpersonnel,effectiveprocesses,ITsystems,customer
relationships,oranyotherinternalfactorthatleadstosuccess.
Weaknesses(W):actionsorfunctionsthattheassessedgroupdoespoorly
ornotatall.
Opportunities(O):externalfactorsofwhichtheassessedgroupmaybe
abletotakeadvantage.Mayincludenewmarkets,newtechnology,
changesinthecompetitivemarketplace,orotherforces.
Threats(T):externalfactorsthatcannegativelyaffecttheassessedgroup.
Theymayincludefactorssuchastheentranceintothemarketofanew
competitor,economicdownturns,orotherforces.
BeginningaSWOTanalysiswithopportunitiesandthreatssetsthecontextto
identifystrengthsandweaknesses.
354
Techniques
SWOTAnalysis
Figure10.46.1:SWOTMatrix
Opportunities
Opportunity
Opportunity
Opportunity
Strengths
Strength
Strength
Strength
Weakness
Weakness
Weakness
10.46.4
Threat
Threat
Threat
STStrategies
Howcanthegroup's
Howcanthegroupuseits
strengthbeusedtoexploit strengthstowardoff
potentialopportunities? potentialthreats?Canthe
SOstrategiesarefairly
threatsbeturnedinto
straightforwardto
opportunities?
implement.
WOStrategies
WTStrategies
Canthegroupusean
Canthegrouprestructure
opportunitytoeliminateoritselftoavoidthethreat?
mitigateaweakness?
Shouldthegroupconsider
Doestheopportunity
gettingoutofthismarket?
warrantthedevelopment WTstrategiesinvolve
ofnewcapabilities?
worstcasescenarios.
UsageConsiderations
.1 Strengths
Isavaluabletooltoaidinunderstandingtheorganization,product,process,or
stakeholders.
Enablesbusinessanalyststodirectthestakeholdersfocustothefactorsthat
areimportanttothebusiness.
.2 Limitations
TheresultsofaSWOTanalysisprovideahighlevelviewmoredetailedanalysis
isoftenneeded.
UnlessaclearcontextisdefinedfortheSWOTanalysistheresultmaybe
unfocusedandcontainfactorswhicharenotrelevanttothecurrentsituation.
355
Weaknesses
SOStrategies
Threats
UseCasesandScenarios
10.47
10.47.1
Techniques
Purpose
Usecasesandscenariosdescribehowapersonorsysteminteractswiththe
solutionbeingmodelledtoachieveagoal.
10.47.2
Description
Usecasesdescribetheinteractionsbetweentheprimaryactor,thesolution,and
anysecondaryactorsneededtoachievetheprimaryactor'sgoal.Usecasesare
usuallytriggeredbytheprimaryactor,butinsomemethodsmayalsobetriggered
byanothersystemorbyanexternaleventortimer.
Ausecasedescribesthepossibleoutcomesofanattempttoaccomplisha
particulargoalthatthesolutionwillsupport.Itdetailsdifferentpathsthatcanbe
followedbydefiningprimaryandalternativeflows.Theprimaryorbasicflow
representsthemostdirectwaytoaccomplishthegoaloftheusecase.Special
circumstancesandexceptionsthatresultinafailuretocompletethegoalofthe
usecasearedocumentedinalternativeorexceptionflows.Usecasesarewritten
fromthepointofviewoftheactorandavoiddescribingtheinternalworkingsof
thesolution.
Usecasediagramsareagraphicalrepresentationoftherelationshipsbetween
actorsandoneormoreusecasessupportedbythesolution.
Someusecaseapproachesdistinguishbetweenbusinessusecasesandsystem
usecases,withbusinessusecasesdescribinghowactorsinteractwithaparticular
processorbusinessfunction,andsystemusecasesdescribingtheinteraction
betweenanactorandasoftwareapplication.
Ascenariodescribesjustonewaythatanactorcanaccomplishaparticulargoal.
Scenariosarewrittenasaseriesofstepsperformedbyactorsorbythesolution
thatenableanactortoachieveagoal.Ausecasedescribesseveralscenarios.
10.47.3
Elements
Thereisnofixed,universalformatforusecases.Thefollowingelementsare
frequentlycapturedinausecasedescription.
.1 UseCaseDiagram
Ausecasediagramvisuallydepictsthescopeofthesolution,byshowingthe
actorswhointeractwiththesolution,whichusecasestheyinteractwith,andany
relationshipsbetweentheusecases.UnifiedModellingLanguage(UML )
describesthestandardnotationforausecasediagram.
Relationships
Relationshipsbetweenactorsandusecasesarecalledassociations.Anassociation
lineindicatesthatanactorhasaccesstothefunctionalityrepresentedbytheuse
356
Techniques
case.Associationsdonotrepresentinput,output,time,ordependency.
Therearetwocommonlyusedrelationshipsbetweenusecases:
Extend:allowsfortheinsertionofadditionalbehaviorintoausecase.The
usecasethatisbeingextendedmustbecompletelyfunctionalinitsown
rightandmustnotdependontheextendingusecaseforitssuccessful
execution.Thisrelationshipmaybeusedtoshowthatanalternateflowhas
beenaddedtoanexistingusecase(representingnewrequirements).
Include:allowsfortheusecasetomakeuseoffunctionalitypresentin
anotherusecase.Theincludedusecasedoesnotneedtobeacomplete
usecaseinitsownrightifitisnotdirectlytriggeredbyanactor.This
relationshipismostoftenusedeitherwhensomesharedfunctionalityis
requiredbyseveralusecasesortoabstractoutacomplexpieceoflogic.
System
UseCase3
UseCase4
<<extend>>
<<include>>
UseCase2
Extensionpoints:
CallUseCase3
UseCase1
Actor1
Actor2
.2 UseCaseDescription
Name
Theusecasehasauniquename.Thenamegenerallyincludesaverbthat
describestheactiontakenbytheactorandanounthatdescribeseitherwhatis
beingdoneorthetargetoftheaction.
Goal
Thegoalisabriefdescriptionofasuccessfuloutcomeoftheusecasefromthe
perspectiveoftheprimaryactor.Thisactsasasummaryoftheusecase.
Actors
Anactorisanypersonorsystemexternaltothesolutionthatinteractswiththat
solution.Eachactorisgivenauniquenamethatrepresentstheroletheyplayin
interactionswiththesolution.Someusecaseauthoringapproachesrecommend
357
Figure10.47.1:UseCaseDiagram
Techniques
againsttheuseofsystemsoreventsasactors.
Ausecaseisstartedbyanactor,referredtoastheprimaryactorforthatusecase.
Otheractorswhoparticipateintheusecaseinasupportingrolearecalled
secondaryactors.
Preconditions
Apreconditionisanyfactthatmustbetruebeforetheusecasecanbegin.The
preconditionisnottestedintheusecasebutactsasaconstraintonitsexecution.
Trigger
Atriggerisaneventthatinitiatestheflowofeventsforausecase.Themost
commontriggerisanactiontakenbytheprimaryactor.
Atemporalevent(forexample,time)caninitiateausecase.Thisiscommonly
usedtotriggerausecasethatmustbeexecutedbasedonthetimeofdayora
specificcalendardate,suchasanendofdayroutineoranendofmonth
reconciliationofasystem.
FlowofEvents
Theflowofeventsisthesetofstepsperformedbytheactorandthesolution
duringtheexecutionoftheusecase.Mostusecasedescriptionsseparateouta
basic,primary,ormainsuccessflowthatrepresentstheshortestorsimplest
successfulpaththataccomplishesthegoaloftheactor.
Usecasesmayalsoincludealternativeandexceptionflows.Alternativeflows
describeotherpathsthatmaybefollowedtoallowtheactortosuccessfully
achievethegoaloftheusecase.Exceptionflowsdescribethedesiredresponseby
thesolutionwhenthegoalisunachievableandtheusecasecannotbe
successfullycompleted.
PostconditionsorGuarantees
Apostconditionisanyfactthatmustbetruewhentheusecaseiscomplete.The
postconditionsmustbetrueforallpossibleflowsthroughtheusecase,including
boththeprimaryandalternativeflows.Theusecasemaydescribeseparatepost
conditionsthataretrueforsuccessfulandunsuccessfulexecutionsoftheuse
case.Thesecanbecalledguaranteesthesuccessguaranteedescribesthepost
conditionsforsuccess.Minimalguaranteesdescribetheconditionsthatare
requiredtobetrue,eveniftheactorsgoalisnotachieved,andmayaddress
concernssuchassecurityrequirementsordataintegrity.
10.47.4
UsageConsiderations
.1 Strengths
Usecasediagramscanclarifyscopeandprovideahighlevelunderstandingof
requirements.
358
Techniques
UserStories
Usecasedescriptionsareeasilyunderstoodbystakeholdersduetotheir
narrativeflow.
Theinclusionofadesiredgoaloroutcomeensuresthatthebusinessvalueof
theusecaseisarticulated.
Usecasedescriptionsarticulatethefunctionalbehaviourofasystem.
.2 Limitations
Theflexibilityoftheusecasedescriptionformatmayleadtoinformationbeing
embeddedthatwouldbebettercapturedusingothertechniquessuchasuser
interfaceinteractions,nonfunctionalrequirements,andbusinessrules.
Theflexibleformatofusecasesmayresultincapturinginappropriateor
unnecessarydetailintheattempttoshoweverysteporinteraction.
Usecasesintentionallydonotrelatetothedesignofthesolutionandasa
result,significanteffortmayberequiredindevelopmenttomapusecasesteps
tosoftwarearchitecture.
10.48
10.48.1
UserStories
Purpose
Auserstoryrepresentsasmall,concisestatementoffunctionalityorquality
neededtodelivervaluetoaspecificstakeholder.
10.48.2
Description
Userstoriescapturetheneedsofaspecificstakeholderandenableteamsto
definefeaturesofvaluetoastakeholderusingshort,simpledocumentation.They
canserveasabasisforidentifyingneedsandallowfortheprioritizing,estimating,
andplanningofsolutions.Auserstoryistypicallyasentenceortwothat
describeswhohastheneedaddressedbythestory,thegoaltheuseristryingto
accomplish,andanyadditionalinformationthatmaybecriticaltounderstanding
thescopeofthestory.Withafocusonstakeholdervalue,userstoriesinvite
explorationoftherequirementsbypromotingadditionalconversationswith
stakeholdersandgroupingfunctionalrequirementsfordelivery.
Userstoriescanbeused:
tocapturestakeholderneedsandprioritizedevelopmentofsolutions,
asabasisofestimatingandplanningsolutiondelivery,
asabasisforgeneratinguseracceptancetests,
359
Decisionsandthebusinessrulesthatdefinethemshouldnotberecorded
directlyinusecases,butmanagedseparatelyandlinkedfromtheappropriate
step.
UserStories
Techniques
asametricformeasuringthedeliveryofvalue,
asaunitfortracingrelatedrequirements,
asabasisforadditionalanalysis,and
asaunitofprojectmanagementandreporting.
10.48.3
Elements
.1 Title(optional)
Thetitleofthestorydescribesanactivitythestakeholderwantstocarryoutwith
thesystem.Typically,itisanactiveverbgoalphrasesimilartothewayusecases
aretitled.
.2 StatementofValue
Thereisnomandatorystructureforuserstories.
Themostpopularformatincludesthreecomponents:
Who:auserroleorpersona.
What:anecessaryaction,behaviour,feature,orquality.
Why:thebenefitorvaluereceivedbytheuserwhenthestoryis
implemented.
Forexample,"Asa<who>,Ineedto<what>,sothat<why>."
"Given...When...Then"isanothercommonformat.
.3 Conversation
Userstorieshelpteamstoexploreandunderstandthefeaturedescribedinthe
storyandthevalueitwilldelivertothestakeholder.Thestoryitselfdoesn't
captureeverythingthereistoknowaboutthestakeholderneedandthe
informationinthestoryissupplementedbyfurthermodellingasthestoryis
delivered.
.4 AcceptanceCriteria
Auserstorymaybesupportedthroughthedevelopmentofdetailedacceptance
criteria(seeAcceptanceandEvaluationCriteria(p.217)).Acceptancecriteria
definetheboundariesofauserstoryandhelptheteamtounderstandwhatthe
solutionneedstoprovideinordertodelivervalueforthestakeholders.
Acceptancecriteriamaybesupplementedwithotheranalysismodelsasneeded.
10.48.4
UsageConsiderations
.1 Strengths
Easilyunderstandablebystakeholders.
Canbedevelopedthroughavarietyofelicitationtechniques.
360
Techniques
VendorAssessment
Focusesonvaluetostakeholders.
Asharedunderstandingofthebusinessdomainisenhancedthrough
collaborationondefiningandexploringuserstories.
Tiedtosmall,implementable,andtestableslicesoffunctionality,which
facilitatesrapiddeliveryandfrequentcustomerfeedback.
.2 Limitations
Ingeneral,userstoriesareintendedasatoolforshorttermcaptureand
prioritizationofrequirementsandnotforlongtermknowledgeretentionorto
provideadetailedanalysis.Neglectingthisprinciplecanleadtothefollowing
issues:
Requirescontextandvisibilitytheteamcanlosesightofthebigpictureif
storiesarenottracedbackthroughvalidationorsupplementedwithhigher
levelanalysisandvisualartifacts.
Maynotprovideenoughdocumentationtomeettheneedforgovernance,a
baselineforfuturework,orstakeholderexpectations.Additional
documentationmayberequired.
10.49
10.49.1
VendorAssessment
Purpose
Avendorassessmentassessestheabilityofavendortomeetcommitments
regardingthedeliveryandtheconsistentprovisionofaproductorservice.
10.49.2
Description
Whensolutionsareinpartprovidedbyexternalvendors(whomaybeinvolvedin
design,construction,implementation,ormaintenanceofthesolutionorsolution
components),orwhenthesolutionisoutsourced,theremaybespecific
requirementsinregardtotheinvolvementofathirdparty.Theremaybeaneed
toensurethatthesupplierisfinanciallysecure,capableofmaintainingspecific
staffinglevels,compliantwithstandards,andabletocommitappropriateskilled
stafftosupportthesolution.Nonfunctionalrequirementscanbeusedtodefine
theservicelevelsexpectedofathirdparty,duediligencemaybeconducted,or
certificationfromanindependentauthoritymayberequested.
Avendorassessmentisconductedtoensurethatthevendorisreliableandthat
theproductandservicemeettheorganization'sexpectationsandrequirements.
TheassessmentmaybeformalthroughthesubmissionofaRequestfor
Information(RFI),RequestforQuote(RFQ),RequestforTender(RFT),orRequest
forProposal(RFP).Itmayalsobeveryinformalthroughwordofmouthand
recommendations.Thestandardsoftheorganization,thecomplexityofthe
361
Thisconversationalapproachcanchallengetheteamsincetheydonothaveall
theanswersanddetailedspecificationsupfront.
VendorAssessment
Techniques
initiative,andthecriticalityofthesolutionmayinfluencethelevelofformalityin
whichvendorsareassessed.
10.49.3
Elements
.1 KnowledgeandExpertise
Acommonreasonforusingthirdpartyvendorsisthattheycanprovide
knowledgeandexpertisenotavailablewithintheorganization.Itmaybe
desirabletotargetvendorswithexpertiseinparticularmethodologiesor
technologieswiththegoalofhavingthatexpertisetransferredtopeoplewithin
theenterprise.
.2 LicensingandPricingModels
Thelicensingorpricingmodelistakenintoaccountincaseswhereasolutionor
solutioncomponentispurchasedfromoroutsourcedtoathirdpartyvendor.In
manycases,solutionsthatoffersimilarfunctionalitymaydiffergreatlyintheir
licensingmodels,whichthenrequiresanalysisofdifferentusagescenariosto
determinewhichoptionwillprovidethebestcostbenefitratiounderthe
scenarioslikelytobeencounteredintheenterprise.
.3 VendorMarketPosition
Itisimportanttobeabletocompareeachvendorwiththecompetitorsand
decidewithwhichmarketplayerstheorganizationwantstogetinvolved.The
comparisonoftheorganizationsprofilewitheachvendorscustomercommunity
mayalsobeafactorintheassessment.Thedynamicsofthevendorsmarket
positionarealsoveryimportant,especiallyiftheorganizationintendstoestablish
alongtermpartnershipwiththatvendor.
.4 TermsandConditions
Termsandconditionsrefertothecontinuityandintegrityoftheprovided
productsandservices.Theorganizationinvestigateswhetherthevendor's
licensingterms,intellectualpropertyrightsandtechnologyinfrastructureare
likelytoturnintochallengesiftheorganizationlaterchoosestotransitionto
anothersupplier.Theremayalsobeconsiderationsregardingthevendor'suseof,
andresponsibilityforprotecting,theorganization'sconfidentialdata.Theterms
underwhichcustomizationsoftheproductwillbeexecuted,aswellasthe
availabilityofaregularupdatescheduleandroadmapoffeaturesthatare
plannedfordelivery,areconsidered.
.5 VendorExperience,Reputation,andStability
Vendors'experiencewithothercustomersmayprovidevaluableinformationon
howlikelyitisthattheywillbeabletomeettheircontractualandnon
contractualobligations.Vendorscanalsobeevaluatedforconformanceand
compliancewithexternalrelevantstandardsforquality,security,and
professionalism.Itmaybenecessarytorequestthatstepsbetakentoensure
therearenorisksifavendorencountersfinancialdifficulties,andthatitwillbe
362
Techniques
Workshops
possibletomaintainandenhancethesolutionevenifthevendor'ssituation
changesradically.
10.49.4
UsageConsiderations
.1 Strengths
Increasesthechancesoftheorganizationtodevelopaproductiveandfair
relationshipwithasuitableandreliablevendor,andtoimprovelongterm
satisfactionwiththedecision.
.2 Limitations
Maybeconsuminginregardstotimeandresources.
Subjectivitymaybiastheevaluationoutcome.
10.50
10.50.1
Workshops
Purpose
Workshopsbringstakeholderstogetherinordertocollaborateonachievinga
predefinedgoal.
10.50.2
Description
Aworkshopisafocusedeventattendedbykeystakeholdersandsubjectmatter
experts(SMEs)foraconcentratedperiodoftime.Aworkshopmaybeheldfor
differentpurposesincludingplanning,analysis,design,scoping,requirements
elicitation,modelling,oranycombinationofthese.Aworkshopmaybeusedto
generateideasfornewfeaturesorproducts,toreachconsensusonatopic,orto
reviewrequirementsordesigns.
Workshopsgenerallyinclude:
arepresentativegroupofstakeholders,
adefinedgoal,
interactiveandcollaborativework,
adefinedworkproduct,and
afacilitator.
Workshopscanpromotetrust,mutualunderstanding,andstrongcommunication
amongthestakeholdersandproducedeliverablesthatstructureandguidefuture
workefforts.
Theworkshopisideallyfacilitatedbyanexperienced,neutralfacilitatorhowever,
ateammembermayalsoserveasthefacilitator.Ascribedocumentsthedecisions
363
Doesnotpreventriskoffailureasthepartnershipevolves.
Workshops
Techniques
reachedandanyoutstandingissues.Abusinessanalystmaybethefacilitatoror
thescribeintheseworkshops.Insituationswherethebusinessanalystisasubject
matterexpertonthetopic,theymayserveasaworkshopparticipant.Thismust
beapproachedwithcautionasitcanconfuseothersastotheroleofthebusiness
analyst.
10.50.3
Elements
.1 PreparefortheWorkshop
Whenpreparingforaworkshop,businessanalysts:
definethepurposeanddesiredoutcomes,
identifykeystakeholderstoparticipate,
identifythefacilitatorandscribe,
createtheagenda,
determinehowtheoutputswillbecaptured,
schedulethesessionandinvitetheparticipants,
arrangeroomlogisticsandequipment,
sendtheagendaandothermaterialsinadvancetopreparetheattendees
andincreaseproductivityatthemeeting,and
ifappropriate,conductpreworkshopinterviewswithparticipants.
.2 WorkshopRoles
Thereareseveralrolesinvolvedinasuccessfulworkshop:
Sponsor:frequentlynotaparticipantintheworkshop,butdoeshave
ultimateaccountabilityforitsoutcome.
Facilitator:establishesaprofessionalandobjectivetonefortheworkshop,
introducesthegoalsandagendafortheworkshop,enforcesstructureand
groundrules,keepsactivitiesfocusedonthepurposeanddesired
outcomes,facilitatesdecisionmakingandconflictresolution,andensures
thatallparticipantshaveanopportunitytobeheard.
Scribe:documentsthedecisionsintheformatdeterminedpriortothe
workshopandkeepstrackofanyitemsorissuesthataredeferredduring
thesession.
Timekeeper:maybeusedtokeeptrackofthetimespentoneachagenda
item.
Participants:includeskeystakeholdersandsubjectmatterexperts.They
areresponsibleforprovidingtheirinputandviews,listeningtootherviews,
anddiscussingtheissueswithoutbias.
364
Techniques
Workshops
.3 ConducttheWorkshop
Toensurethatallparticipantshaveacommonunderstanding,facilitators
generallybegintheworkshopwithastatementofitspurposeanddesired
outcomes.Someworkshopsmayalsostartwithaneasyorfuntasktobreakthe
iceandgettheparticipantscomfortableworkingtogether.
Establishingagreedupongroundrulescanbeaneffectivemethodfor
establishingaproductiveenvironmentforcollaboration.Groundrulescan
include:
respecttheopinionsofothers,
everyoneisexpectedtocontribute,
discussionthatisofftopicshouldbelimitedtoaspecificsettime,
anagreementonhowdecisionsaremade.
Throughouttheworkshop,thefacilitatormaintainsfocusbyfrequentlyvalidating
thesessionsactivitieswiththeworkshopspurposeandoutcomes.
.4 PostWorkshopWrapup
Aftertheworkshop,thefacilitatorfollowsuponanyopenactionitemsthatwere
recordedattheworkshop,completesthedocumentation,anddistributesittothe
workshopattendeesandanystakeholderswhoneedtobekeptinformedofthe
workdone.
10.50.4
UsageConsiderations
.1 Strengths
Canbeameanstoachieveagreementinarelativelyshortperiodoftime.
Providesameansforstakeholderstocollaborate,makedecisions,andgaina
mutualunderstanding.
Costsareoftenlowerthanthecostofperformingmultipleinterviews.
Feedbackontheissuesordecisionscanbeprovidedimmediatelybythe
participants.
.2 Limitations
Stakeholderavailabilitymaymakeitdifficulttoscheduletheworkshop.
Thesuccessoftheworkshopishighlydependentontheexpertiseofthe
facilitatorandknowledgeoftheparticipants.
Workshopsthatinvolvetoomanyparticipantscanslowdowntheworkshop
process.Conversely,collectinginputfromtoofewparticipantscanleadtothe
overlookingofneedsorissuesthatareimportanttosomestakeholders,orto
365
discusstheissues,notthepeople,and
Workshops
Techniques
thearrivalatdecisionsthatdon'trepresenttheneedsofthemajorityofthe
stakeholders.
366
techniquesspecifictothecontextoftheinitiative.Mostinitiativesarelikelyto
engageoneormoreperspectives.TheperspectivesincludedintheBABOK
Guideare:
Agile,
BusinessIntelligence,
InformationTechnology,
BusinessArchitecture,and
BusinessProcessManagement.
Guiderepresentsomeofthemostcommonviewsofbusinessanalysisatthetime
ofwriting.
Anygiveninitiativeincludesone,many,oralloftheseperspectives.Forexample,
aninitiativemayhaveatechnologycomponent(InformationTechnology
Perspective),thetechnologycomponentmaymeanbusinessprocesschanges
(BusinessProcessManagementPerspective),theinitiativemaydecidetodopart,
oralloftheworkwithanagileapproach(AgilePerspective).Anotherinitiative
maymergetwoorganizationsandneedtolookatthebusinesscapabilitiesand
howthetransformationimpactsthosecapabilities(BusinessArchitecture
Perspective),andthebusinessleadersneedupdatedinformationfordecision
makingandanalysis(BusinessIntelligencePerspective).Largeorcomplex
initiativeswilllikelyemployallperspectives.
367
11
Perspectives
TheAgilePerspective
Perspectives
WhilethebusinessanalysistasksdetailedintheBABOK Guideareintendedto
beapplicableacrossallareasofbusinessanalysis,theyarealsopertinenttoeach
specificbusinessanalysisperspective.Perspectivesprovidewaystoapproach
businessanalysisworkinamorefocusedmannersuitabletothecontext.The
perspectiveshelpinterpretandunderstandtheknowledgeareasandtasksinthe
BABOK Guidefromthelensinwhichoneiscurrentlyworking.
Formore
information
regardingthis
structure,see
Perspectives
(p.9).
Eachperspectivefollowsacommonstructure:
ChangeScope,
BusinessAnalysisScope,
Methodologies,Approaches,andTechniques,
UnderlyingCompetencies,and
ImpactonKnowledgeAreas.
11.1
TheAgilePerspective
TheAgilePerspectivehighlightstheuniquecharacteristicsofbusinessanalysis
whenpracticedinthecontextofagileenvironments.
Agileisabouthavingaflexiblemindset,embodiedinasetofvaluesandprinciples
andexhibitedbyavarietyofcomplementarypractices.Agileinitiativesinvolve
constantchange.Businessanalystsworkingonagileinitiativescontinually
reassess,adapt,andadjusttheireffortsandtactics.Businessanalystsconduct
analysisanddeliverworkproductsatthelastresponsiblemomenttocontinually
allowflexibilityforchangedetailedanalysisworkisnotdoneaheadoftime,but
justintimetobeeffectivelyutilizedbytheagileteam.
Agilebusinessanalysisensuresthatinformationisavailabletotheagileteamat
therightlevelofdetailattherighttime.Businessanalystshelpagileteams
answerthesequestions:
Whatneedarewetryingtosatisfy?
Isthatneedworthsatisfying?
Shouldwedeliversomethingtosatisfythatneed?
Whatistherightthingtodotodeliverthatneed?
Businessanalysisworkisperformedcontinuouslythroughoutanagileinitiative
andreliesheavilyoninterpersonalskillssuchascommunication,facilitation,
coaching,andnegotiation.Businessanalystsareactivemembersofanagileteam
andoftenfacilitateplanning,analyzing,testing,anddemonstratingactivities.In
anagileteam,businessanalysismaybeperformedbyaproductmanager/owner,
businessanalyst,orbyotherdefinedteamroles.Businessanalystshelptheteam
identifymodificationsinassumptionsandotherprojectvariationsthatemerge.
RefertotheAgileExtensiontotheBABOK Guideforanexpandedtreatmentof
therole,mindset,andpracticesofbusinessanalysisinagileapproaches,aswellas
detailsonthevaluesandprinciplesoftheAgileManifesto
(www.agilemanifesto.org).
368
Perspectives
11.1.1
TheAgilePerspective
ChangeScope
Businessanalystsworkingonagileinitiativesengagewiththebusinesssponsor
onastrategiclevelandassistwithdefininghowtheproposedproductorfeature
alignswiththeorganization'sobjectives.Theycollaboratewithvarious
stakeholdersandthechangeteamtobreaktheproductvisiondownintoa
prioritizedlistofdesiredworkitemstobecompleted.Theprioritizeditems(or
prioritizedbackloglist)usuallyfocusonthecapabilitiesneededintheresultant
product,withemphasisonthehighestvalueitemsfirst.
Businessanalystsmayactasastakeholderproxy,orworkdirectlywiththe
sponsororproductowner.
Requirementsaredevelopedthroughcontinualexplorationandanalysisofthe
businessneeds.Itisimportanttonotethatthoughmostagileapproachesare
iterative,notalliterativeapproachesareagile.Therearealsoseveralagile
approachesthatarenotiterative,suchasthekanbanmethod.
Duringagileinitiatives,scopeisconstantlyevolving.Thisismanagedbythe
backloglistwhichiscontinuallyreviewedandreprioritized.Thisprocess
contributestotherefinementandredefinitionofscopeinordertomeetthe
evolvingandemergingbusinessneed.
Ifamajorchangeemergesthatsignificantlyimpactstheoverallvalueandgoals
fortheproject,theprojectcanbeadjournedandreassessed.
.1 BreadthofChange
Agileapproachesareusedtoaddressavarietyofneedsinanenterprise.Themost
commonuseofagilepracticesisinsoftwaredevelopmentprojects.However,
manyorganizationshavestartedtoapplyagileprinciplestononsoftwarerelated
changesuchasprocessengineeringandbusinessimprovement.Initiativesusing
agileapproachescanbeundertakenwithinasingledepartmentorcanspan
acrossmultipleteams,departments,anddivisionsofanorganization.
Fororganizationsnewtotheagilemindsetandpractices,afocusoncontinuous
improvement,ongoingchangingbehaviour,andmakingprogressenablesthe
organizationtomovetowardsculturallyadoptingtheagilemindset.Adoptingthe
agilemindsetreferstotheculturaladoptionofagileprinciplesasopposedtothe
organizationconsideringagileasamethodologyorpracticetobeimplemented.
.2 DepthofChange
Initiativesusinganagileapproacharefrequentlypartofalargerprogramof
work,whichcanincludeorganizationaltransformationandchange,business
processreengineering,orbusinessprocesschange.Theagileworkstreamis
frequently,butnotalways,centeredonsoftwaredevelopment.Theother
369
Inagileenvironments,changeandrapidresponsetochangeisexpected.Agile
teamsdeliversmall,incrementalchangesandcommittoprioritizedworkitems
foronlyoneiterationatatime.Thisallowstheagileteamtohandleemerging
changesfortheupcomingiterationwithminimalimpact.Aniterationisan
agreedperiodofworktime.
TheAgilePerspective
Perspectives
elementsoftheprogramcanbedevelopedusingagileoranothermethodology
thatisappropriatefortheneed.Agileprinciplesandpracticesareoften
successfullyappliedininitiativeswhere:
thereisaclearcommitmentfromthecustomerandengagementby
empoweredsubjectmatterexperts(SMEs),
thebusinessneedorproposedsolutioniscomplexorcomplicated,and
businessneedsarechangingorunknownandarestillemerging.
Agileapproachescanbeusedforinitiativesthataredevelopingasolutionforthe
firsttime,orformaintainingandenhancinganexistingsolution.Forexample,if
thechangeismissioncriticalthenprocessescanbeaddedtoaddressregulatory
requirementsandtodealwiththemissioncriticalaspectsoftheproject.
.3 ValueandSolutionsDelivered
Thevalueandsolutionsdeliveredinanagileinitiativearesimilartoanyother
initiative.Thedifferencewithanagileapproachistheemphasisondelivering
valueearlyinahighlycollaborativemanner,usingadaptiveplanningthathasa
focusoncontinuousimprovement.
Anagileinitiativeprovidesvaluebyvirtueoftheapproachtakenbyanagileteam
throughongoingreviewandfeedbackoftheworkperformed.Stakeholdersget
theopportunitytofrequentlyreviewtheproduct,whichallowsthemtoidentify
anymissedrequirementsearly.Thesolutionevolvesovertimewithanexpectation
ofrapidandflexibleresponsetochange.Clarityandvisibilityofall
communicationsisoftheutmostimportancetoensuretheagileteamsefforts
alignwiththeorganizationsneedsandexpectations.
Inanewteam,thebusinessanalystoftenplaysacentralroleinbuildingrapport
andtrustamongsttheagileteammembersandexternalstakeholderstohelp
enableongoingcollaborativediscussionsandengagement.Thisinteraction
enablestheagileteamtoaccuratelydelivervaluethatmeetsevolvingstakeholder
needs.
.4 DeliveryApproach
Agileapproachesfocusonpeopleinteractions,transparentcommunications,and
ongoingdeliveryofvaluablechangetostakeholders.
Eachagileapproachhasitsownuniquesetofcharacteristicsthatallowsteamsto
selectanapproachthatbestsuitstheinitiativeathand.Someagileteamshave
foundthatahybridorcombinationofapproachesisnecessarytoworkwithinthe
constraintsoftheirenvironment.
RefertotheAgileExtensiontotheBABOK Guideforadescriptionofdifferent
agiledeliveryapproaches.
.5 MajorAssumptions
Theassumptionsinplaceinagileenvironmentsfrequentlyinclude:
Changingrequirementsarewelcome,evenlateindevelopment.
370
Perspectives
TheAgilePerspective
Thebusinessproblemcanbereducedtoasetofneedsthatcanbemet
usingsomecombinationoftechnologyandbusinessprocesschange.
AgileinitiativeshavefullyengagedcustomersandempoweredSMEswith
completebuyintotheagileapproach.
Ideally,teammembershipisconstantandmembersarenotcontinually
beingmovedtootherteams.
Thereisapreferenceformultidisciplinaryandcolocatedteams
encouragingmoreefficientandeffectivefacetofaceconversation.
However,agileapproachescanworkwellwithdistributedteamsprovided
appropriatesupportandcommunicationchannelsareinplace.
Teammembershaveamindsetforcontinuousimprovementandsuccessful
valuedeliverythroughregularinspection.
Agileteamsareempoweredandselforganizing.
11.1.2
.1 ChangeSponsor
Itisimportantthatasponsorofanagileinitiativebefamiliarwiththeagile
philosophy,mindset,andapproaches,andalsobeopentotheconstantfeedback
thatwillrequiretradeoffsfromthestakeholders.
Anagilesponsorunderstandsandacceptsthe:
useofadaptiveplanningoverpredictiveplanning,
useandvalueofafixedperiodoftimeforaworkcycle,and
needandvalueofthesponsorsinvolvement.
Thesponsors(orempoweredSME's)activeinvolvementwiththeagileteamis
criticaltoprovidingthesponsorwiththeabilitytopreviewandunderstandthe
productbeingdeveloped,aswellasallowinganopportunityforthesponsorto
providecontinuousfeedbacktotheteamandadjusttheproductasneeds
change.
.2 ChangeTargetsandAgents
Agileapproachesaremostsuccessfulwhentheorganizationalcultureand
workingenvironmentslendthemselvestointensivecollaboration,frequent
communication,andastrongdispositiontowardsincrementaldeliveryof
appropriatesolutionvalue.
Agileteamsarefrequentlyeithersmalloraroundteamsofsmallteams.The
simplerandflatterstructuredoesntchangethefactthatthedeliverablesmay
affectalargegroupofstakeholders.Thechangeagent,alsoconsidereda
371
Teammembersmayperformmorethanonerolewithintheteamifitis
required,andprovidedthattheteamhastheappropriateskills(for
example,crossfunctionalteams).
TheAgilePerspective
Perspectives
stakeholder,isnotdifferentbecausetheprojectusesagile.Theprimaryagentsfor
achangeusinganagileapproachcaninclude:
Agileteamleader:thefacilitatoroftheworkoftheteam.Anagileteam
leaderfrequentlysharesthesamesoftskillsetofaprojectmanager,but
completelydelegatesthetasksofplanning,scheduling,andprioritizationto
theteam.Ratherthantraditionalcommandandcontrolmanagement,
servantleadershipispreferredinalltheagileapproaches.Dependingonthe
approach,thisrolemaybecalledscrummaster,iterationmanager,team
leader,orcoach.
Customerrepresentativeorproductowner:theactiveteammember
responsibleforensuringthatthechangebeingdevelopedaddressesthe
requirementsforwhichithasbeenmandated.InScrumthisroleiscalled
theproductowner.Thedynamicsystemsdevelopmentmethod(DSDM)
referstothisroleasthatofavisionary,andextremeprogramming(XP)
referstoitasacustomerrepresentative.
Teammembers:thespecialistsordomainexpertsthatincludeboth
technicalandcustomerrepresentation.Dependingonsizeandparticular
contextoftheinitiative,individualswithinateamhavedifferentspecialties.
Usabilityexperts,technicalarchitects,anddatabaseadministratorsarejusta
sampleofsuchspecializedrolesthatprovidesupporttotheteamas
needed.
Externalstakeholders:alloftheremainingstakeholderswhomaynotbe
consideredteammembers,butareaninterestedpartyintheoutcomeof
theprojectorsimplyrequiredforitscompletion,playingwhatcanbe
consideredasupportingroleintheteam.
.3 BusinessAnalystPosition
Anagileteammayhaveoneormoreteammemberswithbusinessanalysisskills
whomayormaynothavethejobtitleofbusinessanalyst.Thisrecognitionof
crossskilledteammembersexpandsthepracticeofbusinessanalysisbeyondthat
ofasinglespecialistrole.
Onagileteams,businessanalysisactivitiescanbeperformedbyoneora
combinationof:
abusinessanalystworkingontheteam,
thecustomerrepresentativeorproductowner,or
distributingtheseactivitiesthroughouttheteam.
RefertotheAgileExtensiontotheBABOK Guideformoredetails.
.4 BusinessAnalysisOutcomes
Inanagileenvironment,businessanalysisbringspeopletogetherandensures
thattherightstakeholdersareinvolvedwiththeagileteamattherighttime.
Opencommunicationandcollaborationisoneoftheprincipaloutcomesof
successfulbusinessanalysisinanagileproject.
372
Perspectives
TheAgilePerspective
Businessanalystsensurethattheproject'svisionanddirectionareinstrategic
alignmenttotheorganizationalgoalsandbusinessneed.Thebusinessanalyst
holdssharedresponsibilityindefiningstrategiccriteriaforprojectcompletionand
duringtheprojectassistswithdefiningacceptancecriteria.Theyalsofacilitatethe
articulationoftheproductvisionstatement.Theproductvisionstatementisa
commoninitialdeliverable.
11.1.3
ApproachesandTechniques
.1 Approaches
Agileisanumbrellatermforavarietyofapproaches.Allagileapproachespractice
businessanalysisbutonlyafewexplicitlydefinethebusinessanalysisrole.The
primarycharacteristicofanyagileapproachisitsalignmenttothevaluesand
principlesoftheAgileManifesto.Anagileteammayimplementorevolvetouse
acombinationofapproacheswhichenablesthemtodelivervaluemore
effectivelygiventheirprojecttypeandworkenvironment.
Table11.1.1:AgileApproaches
Approach
Briefdescription
CrystalClear
PartofafamilyofCrystalmethodologieswhicharedefined
basedonhardnessandcolour.Thehardnessreferstothe
businesscriticalityorpotentialforcausingharm,which
amountstomorerigourandpredictiveplanningbeing
requiredasthecriticalityincreases.Colourreferstothe
heavinessoftheprojectacrossanumberofdimensions
includingnumberofpeoplerequiredandriskelementsin
theproject.
DisciplinedAgile
Delivery(DAD)
Adecisionprocessframeworkwhichincorporatesideas
fromavarietyofotheragileapproaches.Itisintendedto
supportaprojectfrominitiationthroughdelivery.DADis
notprescriptiveandallowsforteamstocustomizetheir
ownlifecyclesandapproaches.
373
Documentationrigourandstyleishighlydependentonthepurposeandthe
contextinwhichitisproduced.Agileapproachesfavourjustenoughandjustin
timedocumentationratherthanestablishingpredefinedmodelsfor
documentationtobedelivered.Thisdocumentationapproachallowsforthe
documentstoincorporateasmuchofthechangeintroducedaspossiblewhile
keepingthecostofchangelow.Mandatorydocumentation,suchasthatrequired
forauditingorcompliancereporting,arestillproducedaspartofeachdelivery
cycle.Itisimportantthatdocumentsaddressanidentifiedneedanddelivermore
valuethanthecostincurredtoproduceandmaintainthem.
TheAgilePerspective
Perspectives
Table11.1.1:AgileApproaches (Continued)
Approach
Briefdescription
DynamicSystems
Development
Method(DSDM)
Aprojectdeliveryframeworkwhichfocusesonfixingcost,
quality,andtimeatthebeginningwhilecontingencyis
managedbyvaryingthefeaturestobedelivered.MoSCoW
prioritizationtechniqueisusedforscopemanagement.
Timeboxes,orshortfocusedperiodsoftimewithclearly
definedoutcomes,areusedtomanagethework.
Evolutionary
Project
Management
(Evo)
Aprojectmanagementmethodfordevelopingand
deliveringasystemincrementally.Ithasastrongfocuson
quantifyingvalueformultiplestakeholdersandplanning
incrementsbasedondeliveryofthatvalue(whichcanbe
measured).Itusesimpactestimationtablesasaformal
techniqueforassessingsolutionsfortheirabilitytodeliver
valuetomultiplestakeholdersforagivencost.
Extreme
Namedfortheconceptoftakingbeneficialsoftware
Programming(XP) engineeringtechniquestotheextreme.Thisconcept
focusesonthetechnicaldevelopmentprocessesand
featurespairprogramming,testdrivendevelopment,and
othercraftsmanshipapproachestothetechnicalpractices.
XPtechnicalpracticesareoftenusedinconjunctionwith
oneoftheagilemanagementframeworks.
FeatureDriven
Development
(FDD)
Focusesonaclientvaluedfunctionalityperspectiveto
developworkingsoftware.Forexample,followingahigh
levelscopingexercise,afeaturelistisidentifiedandall
planning,design,anddevelopmentareperformedbased
onfeaturesets.
Kanban
Doesnotrequirefixediterations.Workmovesthroughthe
developmentprocessasacontinuousflowofactivity.Akey
featureistolimittheamountofworkunderwayatanyone
time(referredtoastheworkinprogresslimitorWIP).The
teamworksonlyonafixednumberofitemsatanyone
timeandworkmaybeginonanewitemonlywhenitis
requiredtomaintainflowdownstreamandafterthe
previousitemhasbeencompleted.
ScaledAgile
Framework
(SAFe)
Aframeworkforimplementingagilepracticesatenterprise
scale.Ithighlightstheindividualroles,teams,activitiesand
artifactsnecessarytoscaleagilefromtheteamtoprogram
totheenterpriselevel.
Scrum
Alightweightprocessmanagementframeworkbasedon
empiricalprocesscontrol.Workisperformedinaseriesof
fixedlengthiterations,calledSprints,whichlastonemonth
orless.Attheendofeachsprinttheteammustproduce
workingsoftwareofahighenoughqualitythatitcould
potentiallybeshippedorotherwisedeliveredtoa
customer.
374
Perspectives
TheAgilePerspective
.2 Techniques
Thefollowingtableliststechniquescommonlyusedwithinagileapproaches.
RefertotheAgileExtensiontotheBABOK Guideforamoredetaileddescription
ofthesetechniques.
Table11.1.2:TechniquesusedwithinAgileApproaches
BriefDescription
BehaviourDriven
Development
(BDD)
Anapproachthatenhancesthecommunicationbetween
stakeholdersandteammembersbyexpressingproduct
needsasconcreteexamples.
KanoAnalysis
Atechniqueforunderstandingwhichproductfeatureswill
helpdrivecustomersatisfaction.
Lightweight
Documentation
Aprinciplethatgovernsalldocumentationproducedon
anagileproject.Thepurposeistoensurethatall
documentationisintendedtofulfillanimpendingneed,
hasclearvalueforstakeholders,anddoesnotcreate
unnecessaryoverhead.Forexample,asystemoverview
documentmaybewrittentowardstheendofaproject
basedonstablecontentandacceptancetestswrittenas
partoftheproducttesting.
MoSCoW
Prioritization
Amethodtoprioritizestories(orotherelements)in
incrementalanditerativeapproaches.MoSCoW(must
have,shouldhave,couldhave,wonthave)providesaway
toreachacommonunderstandingonrelativeimportance
ofdeliveringastoryorotherpieceofvalueintheproduct.
Personas
Fictionalcharactersorarchetypesthatexemplifytheway
thattypicalusersinteractwithaproduct.
Planning
Workshop
Acollaborativeworkshopthatisusedtoallowanagile
teamtodeterminewhatvaluecanbedeliveredoveratime
periodsuchasarelease.
Purpose
AlignmentModel
Amodelthatisusedtoassessideasinthecontextof
customerandvalue.
RealOptions
Anapproachtohelppeopleknowwhentomakedecisions
ratherthanhow.
Relative
Estimation
Teamestimationtechniquesusingeitherstorypoints,
whichrepresenttherelativecomplexityofauserstoryto
develop,oridealdays,whichrepresenttheamountof
totaleffortastorywouldtaketodevelop.
Retrospectives
AsimilartermfortheLessonLearnedtechnique.
Retrospectivesfocusoncontinuousimprovementofthe
teamworkprocessandareheldaftereveryiterationon
agileprojects.
375
Technique
TheAgilePerspective
Perspectives
Table11.1.2:TechniquesusedwithinAgileApproaches(Continued)
11.1.4
Technique
BriefDescription
Story
Decomposition
Ensuresthattherequirementsforaproductare
representedattheappropriatelevelofdetailandare
derivedfromavaluablebusinessobjective.
StoryMapping
Providesavisualandphysicalviewofthesequenceof
activitiestobesupportedbyasolution.
Storyboarding
Detailvisuallyandtextuallythesequenceofactivitiesthat
representuserinteractionswithasystemorbusiness.
ValueStream
Mapping
Providesacomplete,factbased,timeseriesrepresentation
ofthestreamofactivitiesrequiredtodeliveraproductor
servicetothecustomer.
Agileisamindset.Agilebusinessanalystsembodythevaluesandprinciplesofthe
AgileManifestowhicharebasedonahumanisticviewofproductdevelopment
asaprocessfoundedincommunicationandcollaboration.RefertotheAgile
ExtensiontotheBABOKGuideforadescriptionoftheprinciplesforbusiness
analysts.Inadoptingtheagilemindsetandphilosophy,thebusinessanalyst
developscompetenciesin:
Communicationandcollaboration:theabilitytocommunicatethe
sponsorsvisionandneedsassistininfluencingotherstosupportthevision
participateandpossiblyfacilitatenegotiationofprioritiesandfacilitate
collaborativeagreementonsolutionoutcomes.
Patienceandtolerance:theabilitytomaintainselfcontrolunderpressure
andkeepanopenmindwheninteractingwithothers.
Flexibilityandadaptability:crossfunctionalskillsetsthatallowthe
businessanalysttostepoutsidetheirspecializationinordertosupport
otherteammembers.
Abilitytohandlechange:theabilitytoquicklyassesstheimpactof
changeanddeterminewhatprovidesbusinessvalueamongstfrequently
changingrequirements,andassistingwith,ormaintaining,there
prioritizationofthetodoworklist.
Abilitytorecognizebusinessvalue:theabilitytounderstandhow
changesandnewfeaturescanachievebusinessvalueandsupportthe
vision.
Continuousimprovement:periodicallyreviewwiththeagileteamhowto
becomemoreeffective.
376
Perspectives
11.1.5
TheAgilePerspective
Thissectionexplainshowspecificbusinessanalysispracticeswithinagileare
mappedtobusinessanalysistasksandpracticesasdefinedbytheBABOK
Guide.Italsodescribeshoweachknowledgeareaisappliedormodifiedwiththe
agilediscipline.
Eachknowledgearealiststechniquesrelevanttoanagileperspective.BABOK
GuidetechniquesarefoundintheTechniqueschapteroftheBABOK Guide.
AgileExtensiontechniquesarediscussedindetailintheAgileExtensiontothe
BABOK Guide.Thisisnotintendedtobeanexhaustivelistoftechniquesbut
rathertohighlightthetypesoftechniquesusedbybusinessanalystswhile
performingthetaskswithintheknowledgearea.
.1 BusinessAnalysisPlanningandMonitoring
Aninitialplanforbusinessanalysisactivitiesisdevelopedatthebeginningofthe
project.Theplanthengetsupdatedpriortothestartofeachcycletoaccountfor
changeandtoensurethattheplanisalwaysuptodate.Stakeholderinvolvement
andengagementiskeytothesuccessofagileprojects.Businessanalysts
proactivelyplantoinvolve,engage,andcollaboratewithstakeholders.
Communicationiscommonlymuchlessformalandbusinessanalysisdeliverables
areofteninteractionsandcollaborationwithlessemphasisonthewritten
documents.
BABOKGuideTechniques
BacklogManagement(p.220)
Prioritization(p.311)
CollaborativeGames(p.243)
ScopeModelling(p.338)
Estimation(p.271)
(p.344)
Indicators(KPIs)(p.297)
MindMapping(p.299)
UserStories(p.359)
Workshops(p.363)
AgileExtensionTechniques
LightweightDocumentation
RelativeEstimation
MoSCoWPrioritization
Retrospective
Personas
.2 ElicitationandCollaboration
Progressiveelicitationandelaborationoccurthroughoutanagileinitiative.The
mostcommonpatternisaninitialelicitationactivitythatestablishesthehighlevel
visionandscopeofthesolution,andaninitialmilestonebasedplanforthe
deliveryoftheproduct.Ineverycyclethereismoredetailedelicitationforthe
377
Inagileapproaches,detailedbusinessanalysisplanningcanbedeferreduntil
workonanactivityisreadytobeginratherthandoneupfrontasinpredictive
projects.
TheAgilePerspective
Perspectives
backlogitemsthatwillbedevelopedinthatcycle.Theintentofelicitation
activitiesistogeneratejustenoughdetailtoensurethattheworkathandis
performedcorrectlywhileaimingtowardsthegoals.Agileapproachesaimto
minimizethetimebetweentheelaborationofneedsandtheirimplementationin
thesolution.Thereisastrongfocusoncollaborativeelicitationapproachessuch
asworkshopswithstakeholders.
(p.217)
Brainstorming(p.227)
Prototyping(p.323)
Reviews(p.326)
ProcessModelling(p.318)
ConceptModelling(p.245)
(p.344)
InterfaceAnalysis(p.287)
UseCasesandScenarios(p.356)
MindMapping(p.299)
UserStories(p.359)
NonFunctionalRequirements
Analysis(p.302)
Workshops(p.363)
BehaviourDrivenDevelopment
Storyboarding
StoryMapping
Personas
.3 RequirementsLifeCycleManagement
Asagileinitiativesunfold,thescopeisdefinedwithincreasingspecificity.The
expectationisthattheneedswillchangeandthatthedesignwillevolveoverthe
courseoftheproject.Prioritizationoffeaturesbasedonvalueanddevelopment
prioritydrivestheworkdoneineachcycle.Validationoftheevolvingsolution
withthestakeholdersoccursattheendofeveryiterationinplaceofaformal
requirementsapprovalprocess.
(p.217)
Workshops(p.363)
Reviews(p.326)
KanoAnalysis
StoryDecomposition
StoryMapping
378
Perspectives
TheAgilePerspective
.4 StrategyAnalysis
Agileapproachesareoftenusedwhenthereisuncertaintyabouttheneeds,the
solution,orthescopeofchange.Strategyanalysisisaconstantpartofanagile
initiativetoensurethatthesolutiondeliveredcontinuestoprovidevalueto
stakeholders.Agileteammembersusestrategyanalysistohelpunderstandand
defineproductvision,anddevelopandadjustthedevelopmentroadmap,in
additiontoconductingongoingassessmentsofrelatedrisks.Foreveryiteration,
theproposedsolutionisreassessedagainstthecurrentbusinesscontexttoensure
thatitwilleffectivelymeetthebusinessgoals.Theadaptivenatureofagile
projectsmeansthatadaptingtheprojecttochangesintheorganization'sgoalsis
notdisruptiverather,itisanexpectedpartoftheprocess.
BusinessCapabilityAnalysis(p.230)
Workshops(p.363)
KanoAnalysis
RealOptions
Personas
ValueStreamAnalysis
PurposeAlignmentModel
.5 RequirementsAnalysisandDesignDefinition
Needsareprogressivelyelaboratedduringanagileproject.Analysisanddesign
areperformedonajustintimebasis,eitherjustbeforeorduringtheiterationin
whichthesolutioncomponentwillbedeveloped.
Analysisperformedjustbeforetheiterationistoprovidetheteamwithenough
informationtoestimatetheplannedwork.Analysisperformedduringthe
iterationistoprovidetheteamwithenoughinformationtoconstructordeliver
theplannedwork.
Modelsandotheranalysisanddesigntechniquesaretypicallyusedinformally,
andmaynotbemaintainedoncetheyhaveservedtheirpurposes.Theanalysis
anddesignapproachusedshouldsupportprogressiveelaboration,beadaptable
tochangebasedonlearning,andnotcausetheteamtoselectsolutions
prematurely.Agileteamstendtouseuserstoriesatthelowestlevelof
decomposition,usuallysupportedbyacceptancecriteriawhichcapturethe
analysisanddesigndetailsregardinghowthestoriesshouldbehavewhen
implemented.Validationoftheevolvingsolutionisperformedwithstakeholders
attheendofeveryiteration.
(p.217)
379
BusinessRulesAnalysis(p.240)
TheAgilePerspective
Perspectives
ProcessAnalysis(p.314)
Analysis(p.302)
Workshops(p.363)
UserStories(p.359)
BehaviourDrivenDevelopment
StoryDecomposition
KanoAnalysis
StoryElaboration
StoryMapping
Storyboarding
PurposeAlignmentModel
ValueStreamAnalysis
RealOptions
.6 SolutionEvaluation
Throughoutanagileproject,thestakeholdersandagileteamcontinuallyassess
andevaluatethedevelopmentsolutionasitisincrementallybuiltandrefined.
Evaluationoftheevolvingsolutionwiththestakeholdersoccursattheendof
everydevelopmentcycletoensurethedeliverablemeetstheirneedsandsatisfies
theirexpectations.Thebusinessanalystensuresthattheproductmeets
expectationsbeforeaproductisreleased,andidentifiesnewopportunitiesthat
willaddvaluetothebusiness.
(p.217)
Prototyping(p.323)
(p.344)
Analysis(p.302)
Personas
ValueStreamAnalysis
380
Reviews(p.326)
UserStories(p.359)
Workshops(p.363)
Perspectives
11.2
TheBusinessIntelligencePerspective
TheBusinessIntelligencePerspectivehighlightstheuniquecharacteristicsof
businessanalysiswhenpracticedinthecontextoftransforming,integrating,and
enhancingdata.
Thefocusofbusinessintelligenceisthetransformationofdataintovalueadded
information:wheretosourceit,howtointegrateit,andhowtoenhanceand
deliveritasanalyticinsighttosupportbusinessdecisionmaking.
Businessintelligenceinitiativesapplydatacentricsystemarchitecturesaswellas
technologiesandtoolstodeliverreliable,consistent,highqualityinformation
thatenablesstakeholderstobettermanagestrategic,tactical,andoperational
performance.
ChangeScope
.1 BreadthofChange
Akeyobjectiveofabusinessintelligencesystemistheconsistentdefinitionand
usageofinformationthroughoutanorganizationbyestablishinga'singlepoint
oftruth'fordiversebusinessdata.Asolutionarchitecturethatcanintegrate
multipledatasourcesfromwithin(andpotentiallyfromoutside)theorganization
providesthefoundationofabusinessintelligencesolution.
Figure11.2.1:BusinessIntelligenceSolutionConceptualFramework
Data
Sources
Data
Integration
Enterprise
DataView
Decision
Support
Decision
Points
EXTERNAL
SYSTEMS
Partner
Industry
Public
INTERNAL
SYSTEMS
Corporate
BusinessArea
Adhoc,isolated
CyclicalReports
Operational
DataStores
DataMarts
Data
Transformation
DataQuality
Management
Data
Analytics
Data
Warehouse
OTHER
SOURCES
Machinedata
Webdata
AudioVisual
data
Documents&
text
Information
Delivery
AdhocQueries
Interactive
Dashboards
ConditionalAlerts
Unstructured
Data
Analytical
Sandboxes
Automated
DecisionData
381
11.2.1
Perspectives
Thebusinessintelligencepromotesanenterprisewideviewofinformation
management.Tosupportthatconceptualframework,abusinessintelligence
initiativemayalsoinvolvethedevelopmentofinfrastructureservicesinthe
organization,suchasdatagovernanceandmetadatamanagement.
.2 DepthofChange
Businessintelligenceinitiativesfocusontheinformationneededtosupport
decisionmakingat,oracross,differentlevelswithintheorganization:
executivelevel:supportsstrategicdecisions,
managementlevel:supportstacticaldecisions,or
processlevel:supportsoperationaldecisions.
Whereinformationneedsareinitiallyexpressedoridentifiedataparticularlevel,
thebusinessanalystinvestigatesthebusinessimplicationsatotherlevelstoassess
theoverallimpactofthechangeontheorganization.
Ateachlevel,thebusinessneedsmayinvolveanyorallofthefollowing:
communicationrequirementsforthedevelopmentofnewreportingorthe
replacementofexistingreporting,
informationrequirementsfortheadditionorextensionofanalytic
functionality,and/or
dataintegrationrequirementsfortheconstructionormodificationofthe
enterprisedataviewwithregardtodatasources,definitions,
transformationrulesandqualityissues.
Thevalueofabusinessintelligenceinitiativeisinitsabilitytoprovidetimely,
accurate,highvalue,andactionableinformationtothosepeopleandsystems
whocanuseiteffectivelyinmakingbusinessdecisions.
Betterinformeddecisionmakingatalllevelscanleadtoimprovedbusiness
performancein:
strategicprocessessuchasmarketanalysis,customerengagement,and
productdevelopment,
tacticalprocessessuchasstockcontrolandfinancialplanning,and
operationalprocessessuchascreditassessment,faultdetection,and
accountspayablemonitoring.
Theseimprovementsinanorganizationscurrentandfutureperformancemaybe
realizedasincreasedrevenuesandreducedcosts.
.4 DeliveryApproach
Abusinessintelligencesolutionpresentsarangeofdeliveryoptionstomeetthe
emerginginformationneedsofstakeholdersandtheprioritiesofthe
organization.
382
Perspectives
Theextensibilityandscalabilityofthesolutionarchitectureprovideforthe
supportofbusinessdecisionmakingtobeprogressivelyintroducedorenhanced:
atdifferentlevelsintheorganization,fromstrategic(seniorexecutive),
throughtactical(management),tooperational(staffandsystems),and
intargetfunctionalareasintheorganization,fromaspecificareathrough
toanenterprisewideimplementation.
Theinfrastructureservicesthatprovidedatamanagement,analytics,and
presentationcapabilities,facilitateaphasedorincrementaldevelopmentstrategy
inrespectof:
theinclusion,coordinationandcontrolofdifferentdatasources,and
theanalysisanddevelopmentofbusinessinformationandinsights.
.5 MajorAssumptions
Thefollowingisalistofmajorassumptionsofabusinessintelligenceinitiative:
existingbusinessprocessesandtransactionalsystemscanprovidesource
datathatisdefinableandpredictable,
thecrossfunctionaldatainfrastructurethatisneededtosupportabusiness
intelligencesolutionhasnotbeenprecludedbytheorganizationon
technical,financial,political/cultural,orothergrounds,and
theorganizationrecognizesthatprocessreengineeringandchange
managementmightbeneededinordertoeffectivelyrealizethevaluefrom
abusinessintelligencesolution.
11.2.2
.1 ChangeSponsor
Thechangesponsorofabusinessintelligenceinitiativeisideallythehighestlevel
rolefromtheorganizationalunitaffectedbythechange.Thisprovidesfora
consistent,cohesiveapproachtothesharedusageofdataassetswithinthecross
functionalarchitectureofabusinessintelligencesolution.
.2 ChangeTargets
Thetargetsofabusinessintelligenceinitiativearethebusinessdecisionsmadeby
peopleorprocessesatmultiplelevelsintheorganizationthatcanbeimprovedby
betterreporting,monitoring,orpredictivemodellingofperformancerelateddata.
Asinotherinitiatives,thebusinessanalystactsastheprimaryliaisonbetween
businessintelligencestakeholdersandsolutionprovidersintheelicitation,
383
Infrastructurecomponentsofabusinessintelligencesolutionareoftenprovided
byacommercialofftheshelfpackageconfiguredtothespecificbusiness
environmentandneeds.
Perspectives
analysis,andspecificationofbusinessneeds.
Inadditiontothatrole,thebusinessanalystmayalsoparticipateintechnical
activitiesthatarespecifictobusinessintelligence,including:
enterprisedatamodelling,
decisionmodelling,
specializedpresentationdesign(forexample,dashboards),and
adhocquerydesign.
Abusinessanalystworkingonabusinessintelligenceinitiativeservesinoneorin
acombinationofthefollowingroles:
businessanalystwhoiscompetentinthedefinitionofbusiness
requirementsandtheassessmentofpotentialsolutions,
businessintelligencefunctionalanalystwhohasanunderstandingofdata
miningandpredictiveanalytictechniques,aswellasskillsindeveloping
visualizations,
dataanalystwhoisexperiencedatdefiningsourcesystemsdatatobeused
fortherequiredanalyticalpurposes,or
datamodeller/architectwhoisskilledindefiningthesourceandtargetdata
structuresinlogicaldatamodels.
Inthebusinessintelligencediscipline,businessanalysisisfocusedonthemajor
componentsofthesolutionarchitecture:
thespecificationofbusinessdecisionstobeinfluencedorchanged,
thecollectionofdatafromsourcesystems,
theintegrationofdivergentsourcesintoaconvergententerprise
framework,and
theprovisionoftargetedinformationandanalyticinsighttobusiness
stakeholders.
Thebusinessanalystisresponsiblefortheanalysisandspecificationofthe
businessrequirementsforallofthesecomponentsandcollaborateswith
technicalspecialiststoassesssolutionartifacts.
Themajoroutcomesofbusinessanalysisare:
Businessprocesscoverage:definesthescopeofthechangewithahigh
leveloverviewofthebusinessdecisionswithintheenterprisethataretobe
supportedbythesolution.Itidentifieshowtheinformationoutputwillbe
usedandwhatvalueitwillprovide.
Decisionmodels:identifytheinformationrequirementsofeachbusiness
decisiontobesupportedandspecifythebusinessruleslogicofhowthe
individualinformationcomponentscontributetothedecisionoutcome.
Sourcelogicaldatamodelanddatadictionary:thesourcelogicaldata
modelprovidesastandarddefinitionoftherequireddataasheldineach
384
Perspectives
sourcesystem.Thesourcedatadictionaryprovidesadefinitionofeach
elementandthebusinessrulesappliedtoit:businessdescription,type,
formatandlength,legalvalues,andanyinterdependencies.
Sourcedataqualityassessment:evaluatesthecompleteness,validity,
andreliabilityofthedatafromsourcesystems.Itidentifieswherefurther
verificationandenhancementofsourcedataisrequiredtoensure
consistentbusinessdefinitionsandrulesapplyacrosstheenterprisewide
dataasset.
Targetlogicaldatamodelanddatadictionary:thetargetlogicaldata
modelpresentsanintegrated,normalizedviewofthedatastructures
requiredtosupportthebusinessdomain.Thetargetdatadictionary
providesthestandardizedenterprisewidedefinitionofdataelementsand
integrityrules.
Businessanalyticsrequirements:definetheinformationand
communicationrequirementsfordecisionsupportoutputs.Theseinclude:
predefinedreports,
dashboards,
balancedscorecards,
adhocreports,
onlineanalyticalprocessing(OLAP)queries,
datamining,
prescriptiveanalytics,
conditionalalerts,
complexeventprocessing,and
predictivemodelling.
Specificationsforeachoutputcaninclude:(1)dataselections/dimensions,
levelofgranularity,filteringcriterionapplied,possibilitiesfordrilldown,
sliceanddice,anduseraccessandpermissionsand(2)presentationrules
todefinedataelementformat,translation(labels,lookups),calculations,
anddataaggregations.
Solutionarchitecture:providesahighleveldesignviewofhowthe
decisionsupportrequirementsofeachfunctionalareawillmaptothe
businessintelligenceframework.Itistypicallypresentedintheformofa
process(ordataflow)modelthatdefines:
wherethesourcedataisheld,
how(pull/push)andwhen(frequency,latency)thedatawillbe
extracted,
385
Transformationrules:mapsourceandtargetdataelementstospecify
requirementsforthedecoding/encodingofvaluesandfordatacorrection
(errorvalues)andenrichment(missingvalues)inthetransformation
process.
Perspectives
wherethetransformationswilltakeplace(cleansing,encoding,
enhancement),
wherethedatawillbephysicallystored(datawarehouse,datamarts),
and
howthedatawillflowtopresentationoutputs(reportingfacilities,
querytools).
11.2.3
MethodologiesandApproaches
.1 Methodologies
Therearenoformalizedbusinessintelligencemethodologiesthatimpactthe
responsibilitiesandactivitiesofthebusinessanalyst.However,abusiness
intelligenceinitiativecanoperatewithinoralongsidemethodologiesapplicableto
otherdisciplinesorperspectiveswhichthemselvesmightimpactthebusiness
analysisrole.
.2 Approaches
Withinthebusinessintelligenceframeworkthereareanumberoflessformaland
potentiallyoverlappingapproachesthatmaptoparticularbusinessandtechnical
contexts.
TypesofAnalytics
Therearethreetypesofdataanalyticsthatrepresentincrementalsolutions,with
increasinglevelsofsystemscomplexity,cost,andvalue:
Descriptiveanalytics:useshistoricaldatatounderstandandanalyzepast
businessperformance.Businessinformationcanbecategorizedand
consolidatedtobestsuitthestakeholdersviewincludingexecutive
managementdashboards,middlelevelmanagementkeyperformance
indicator(KPI)scorecards,andoperationallevelmanagementcharts.No
assumptionsaremadeastowhichsituationsareofinteresttothe
stakeholders,whatdecisionsneedtobemade,orwhatactionsmightbe
carriedout.Thebusinessanalysisfocusisontheinformationand
communicationrequirementsforstandardreportinganddashboards,ad
hocreporting,andqueryfunctionality.
Predictiveanalytics:appliesstatisticalanalysismethodstohistoricaldata
toidentifypatterns,andthenusesthatunderstandingofrelationshipsand
trendstomakepredictionsaboutfutureevents.Theparticularsituations
thatareofinteresttothestakeholdersarespecified,andtheirbusiness
rulesaredefined.Thebusinessanalysisfocusisontheinformation
requirementsforpatternrecognitionthroughdatamining,predictive
modelling,forecasting,andconditiondrivenalerts.
Prescriptiveanalytics:expandsonpredictiveanalyticstoidentifydecisions
tobemadeandtoinitiateappropriateactiontoimprovebusiness
performance.Statisticaloptimizationandsimulationtechniquescanbe
386
Perspectives
usedtodeterminethebestsolutionoroutcomeamongvariouschoices.For
situationsofinteresttostakeholders,fullspecificationoftheassociated
decisionsandpotentialactionsarerequired.Thebusinessanalysisfocusis
onthebusinessobjectives,constraintscriteria,andthebusinessrulesthat
underpinthedecisionmakingprocess.
SupplyandDemandDriven
Theobjectivesandprioritiesofabusinessintelligenceinitiativecanbebasedon
thetechnicalgoalsofimprovingexistinginformationdeliverysystems(supply
driven)oronthebusinessgoalsofprovidingtheappropriateinformationto
improvedecisionmakingprocesses(demanddriven):
1. phasetheinclusionofexistingdatabasesintothebusinessintelligence
solutionarchitecture,
2. progressivelyreplaceorrepairexistingoutputs,and
3. explorenewinsightsthatmightbegainedfromtheconsolidated
data.
Demanddriven:assumestheviewof"foragivenvalue,whatcostdowe
incur?".Thisapproachstartswithidentifyingtheinformationoutput
neededtosupportbusinessdecisions,andthentracingthatinformation
backtotheunderlyingdatasourcestodeterminefeasibilityandcost.It
providesforincrementalimplementationstrategiesthatarenotdetermined
byexistingdatabasestructures,andallowsforearlyexploratoryusageof
businessintelligencebeyondexistingreportingrequirements.
StructuredandUnstructuredData
Therearetwotypesofdatathatbusinessintelligenceapproachesconsider:
Structureddata:traditionaldatawarehousesolutionshavebeenbasedon
consolidatingthestructureddata(numericalandcategorical)recordedin
operationalsystemswherebusinessinformationsetsareidentifiedby
predefinedstructures(referredtoas'schemaonwrite')andwherearules
driventemplateensuresdataintegrity.Thebusinessanalysisfocusisondata
models,datadictionaries,andbusinessrulestodefineinformation
requirementsandcapabilities.
Unstructureddata:businessintelligencesolutionscanincludesemi
structuredorunstructureddatawhichincludestext,images,audio,and
video.Thisdatafrequentlycomesfromexternalsources.Forthistypeof
data,thestructureandrelationshipsarenotpredefinedandnospecific
organizationruleshavebeenappliedtoensuredataintegrity.Information
setsarederivedfromtherawdata(referredtoas'schemaonread').The
businessanalysisfocusisonmetadatadefinitionsanddatamatching
algorithmstodefineinformationrequirementsandcapabilities.
387
Supplydriven:assumestheviewof"foragivencost,whatvaluecanwe
deliver?".Thisapproachmapsexistingsystemsdatatodefinewhatdatais
available.Acommonimplementationstrategywouldbeto:
11.2.4
Perspectives
Asinanybusinessanalysisdiscipline,thebusinessanalystrequiresthe
fundamentalcommunicationandanalyticalcompetenciestobeeffectivein
liaisingwithbothbusinessstakeholdersandtechnicalsolutionproviders.
Inthebusinessintelligencediscipline,thiscoordinationofbusinessinformation
requirementswithbusinessintelligencesystemsoutcomescanbefurther
enhancedbythebusinessanalystsspecificcompetenciesin:
businessdataandfunctionalusage,includingterminologyandrules,
theanalysisofcomplexdatastructuresandtheirtranslationinto
standardizedformat,
businessprocessesaffectedincludingKPIsandmetrics,
decisionmodelling,
dataanalysistechniquesincludingbasicstatistics,dataprofiling,and
pivoting,
datawarehouseandbusinessintelligenceconceptsandarchitecture,
logicalandphysicaldatamodels,
ETL(Extract,Transform,Load)bestpracticesincludinghistoricaldatatrack
andreferencedatamanagement,and
businessintelligencereportingtools.
11.2.5
Thissectionexplainshowspecificbusinessanalysispracticeswithinbusiness
intelligencearemappedtobusinessanalysistasksandpracticesasdefinedbythe
BABOK Guide.Thissectiondescribeshoweachknowledgeareaisappliedor
modifiedwiththebusinessintelligencediscipline.
Eachknowledgearealiststechniquesrelevanttoabusinessintelligence
perspective.Techniquesusedinthedisciplineofbusinessintelligencedonot
deviate,toanygreatextent,fromtheBABOK Guidetechniques.BABOK Guide
techniquesarefoundintheTechniqueschapteroftheBABOK Guide.Thisisnot
intendedtobeanexhaustivelistoftechniquesbutrathertohighlightthetypesof
techniquesusedbybusinessanalystswhileperformingthetaskswithinthe
knowledgearea.
Abusinessintelligenceinitiativemayrequireestablishinganunderlyingdata
infrastructuretosupportthesolution,oritmightbeanenhancementbasedon
theinfrastructureofanexistingsolution.ScopeModellingisfrequentlyusedto
differentiatebetweenthesealternativesandplantherelevantbusinessanalysis
activitiesaccordingly.
Thebusinessintelligenceparadigmofinformationdeliverymightbeanew,
388
Perspectives
unfamiliarapproachforbusinessstakeholdersandforthebusinessanalysts
themselves.Inplanningtheinitiative,thebusinessanalystconsiders:
howexperiencedthestakeholdersareinexpressingtheirinformationand
communicationrequirementsinthebusinessintelligencecontext,and
howskilledthebusinessanalystsareininterpretingthoserequirementsinto
detailedspecificationsforbusinessintelligencetechnicalspecialists.
Businessintelligencesolutionstypicallyprovideframeworks,tools,and
techniquesthatcanassistinrequirementsdefinitionandsolutionmodelling.The
levelofstakeholdersandbusinessanalystsexpertiseinthesecanhaveanimpact
ontheplannedapproach.
Abusinessintelligencesolutionthatintegratesmultipledatasourcestypically
engagesmanystakeholderswithoverlappinginformationrequirements.Business
analystspreparefortheanalysisandsynthesisofindividualrequirementsintoa
setthatiscompleteandcohesivewithoutconflictsandredundancies.
(p.217)
(p.329)
BalancedScorecard(p.223)
(p.333)
RootCauseAnalysis(p.335)
DecisionAnalysis(p.261)
Estimation(p.271)
FunctionalDecomposition(p.283)
(p.344)
Interviews(p.290)
SurveyorQuestionnaire(p.350)
ItemTracking(p.294)
UserStories(p.359)
Analysis(p.302)
OrganizationalModelling(p.308)
Reviews(p.326)
389
Workshops(p.363)
Whenassessingstakeholderattitudestowardsthebusinessintelligenceinitiative,
thebusinessanalystshouldbeawarethatanenterprisewidebusiness
intelligencesolutionmightnotprovidedirectvaluetosomeoperational
stakeholders,butwilldeliveritelsewhereintheorganization,andtheflexibility
andextensibilityprovidedbythebusinessintelligenceinfrastructuredelivers
longertermstrategicvaluethatgoesbeyondshorttermoperationalbenefits.
Perspectives
Thecrossfunctionalnatureofbusinessintelligencetypicallyrequiresbusiness
analyststoemployspecializeddocumentationtoolsandtechniquestoelicit
particulartypesofrequirementsfromstakeholders,bothbusinessandtechnical.
Individualstakeholdersmayonlypossesspartialknowledgeandexpertise
regarding:
thebusinessdecisionsthatneedsupport,
thedataelementsthatsupportthosebusinessdecisions,
thedatasourcing,transformation,andintegrationrules,and
thepresentationoftherequiredinformation.
Interviewswithindividualstakeholdersidentifytheinformationandanalytic
insightrequiredtosupporttheirdecisionmaking.Workshopswithstakeholders
fromacrossdifferentfunctionalareasofthebusinesscanhelpdetectcommon,
overlappinginformationrequirementsthatwouldbebettermetwithan
integratedsolution.
Datamodelsanddatadictionariesprovidedefinitionsofthestructureand
businessrulesofexistingsystemsdata.Thebusinessanalystassessesavailable
documentationtoidentifyincompletenessofamodelorinconsistenciesbetween
models.
Processmodelsthatareextendedtoincludedataartifactscanhelpidentifythe
datasourcesrequiredatdecisionpoints.Decisionmodelsspecifythedataanalytic
requirementsandbusinessrulesfordecisions.
Commercialofftheshelfpackagesofbusinessintelligencefunctionalitycan
providethebusinessanalystwithasetofhighlyeffectiveprototypingtoolsto
elicitandclarifystakeholderinformationandcommunicationrequirements.
ItemTracking(p.294)
DocumentAnalysis(p.269)
Observation(p.305)
FocusGroups(p.279)
Prototyping(p.323)
Workshops(p.363)
Glossary(p.286)
(p.344)
Interviews(p.290)
Thearchitecturalnatureofthebusinessintelligencedisciplinerequires
establishingtheinfrastructurecapabilitiesinthesolution.Thiscanintroduce
structuraldependencieswithinthesolution,particularlywheredeliveryisphased,
390
Perspectives
thataffecttheprioritizationofindividualbusinessneeds.Itisoftenpossibleto
achieveefficienciesbyimplementingrelatedrequirementsatthesametime.
ItemTracking(p.294)
(p.333)
(p.344)
Reviews(p.326)
Workshops(p.363)
.4 StrategyAnalysis
Indefiningthefuturestatestrategy,businessanalystscanusehighlevelmodels
tomapthearchitecturefordatastorageandfordataconveyanceand
transformation:
Logicaldatamodels:provideastaticviewofthesolutionarchitecture,
representingtheinformationportalthatconnectsthesourcingof
operationaldatainputswiththedeliveryofthebusinessinformation
outputs.
Dataflowdiagrams:arecommonlyusedtomapthedynamicaspectsof
thesolution(datainmotion)andtoidentifyotherarchitecturalconstructs
suchaslatencyandaccessibility.
Decisionmodels:areusefulfordefininghowrelevantbusinessdecisions
aremadeandwhereandhowdataanalyticscanbeeffectivelyusedtomeet
theseneeds.
Physicaldatamodels:showtheimplementationenvironmentincluding
thedatawarehouseanddatamarts.
Theextensiblearchitectureprovidedbybusinessintelligencesolutionscan
supportincrementalimplementationacrossdifferentfunctionalareasofthe
business.Businessanalystscandefinechangestrategyoptionsbasedonbusiness
needsandpriorities,impactonthebusinessoperations,andtheusabilityof
existinginfrastructurecomponents.
(p.226)
DataFlowDiagrams(p.250)
DataModelling(p.256)
391
Businessanalystscanusehighlevelconceptualdatamodelstomapthecurrent
stateofcorporateinformation,toidentifyinformationsilos,andtoassesstheir
relatedproblemsandopportunities.OrganizationModellingcanbeusedto
evaluateanycurrentdatamanagementinfrastructure,suchasmetadata
managementanddatagovernance.
Perspectives
DecisionModelling(p.265)
(p.329)
Estimation(p.271)
FocusGroups(p.279)
Glossary(p.286)
(p.344)
SWOTAnalysis(p.353)
Whenmodellingandspecifyingbackofficedatacaptureandstorage
requirements,businessanalystsusespecificdataorientedmodellingtechniques
suchasDataModelling,DataDictionary,DecisionModelling,andBusinessRules
Analysis.
Modelsofanexistingsystem'sdatahelptodefinedataavailabilityandidentify
redundancies,inconsistencies,anddataqualityissues.Whereexistingsystems
documentationisnonexistentoroutofdate,reverseengineeredmodellingcan
beasubstantialcomponentofwork,andfrequentlyrequirescollaborationwith
technicalexpertssuchasdatabaseadministratorsandapplicationprogrammers.
Afuturestatedatamodeldemonstrateshowthesourceinformationisgenerically
structuredintheproposedsolution.Theoveralltransformationprocessis
commonlymodelledusingDataFlowDiagramstoillustratethemanagementof
latencyandaccessibilityrequirementsinthesolution.Businessanalystsdefine
specificbusinessrulesfordataintegritycheckingandfordatatransformation.
Formodellingandspecifyingfrontofficeinformationoutputs,businessanalysts:
analyzeexistingreportstodetermineiftheyarecandidatestobereplaced
orrepairedwithbusinessintelligenceoutputs,and
usebusinessintelligencecapabilitiessuchasadhocqueries,datamining,
andcomplexeventprocessingtoidentifyandspecifythecontentand
formatofnewbusinessintelligenceoutputs.
Businessanalystsareinvolvedinassessingthecapabilityofaproposedsolution
(typicallyacommercialofftheshelfsoftwarepackage)inrespectofthespecified
requirements.Inthebusinessintelligencecontext,theseincludefunctional
requirementssuchasselfservefacilities,dataanalyticstools,datapresentation
tools,drilldowncapabilities,andnonfunctionalrequirementsrelatedtoissues
suchasdataquality,datalatency,andqueryperformance.
GuideTechniques
.6 BABOK
(p.217)
392
DataDictionary(p.247)
Perspectives
Glossary(p.286)
Prototyping(p.323)
Reviews(p.326)
Interviews(p.290)
SequenceDiagrams(p.341)
Analysis(p.302)
(p.344)
StateModelling(p.348)
VendorAssessment(p.361)
Acommonenterpriselimitationwiththeintroductionofabusinessintelligence
solutionistheunderutilizationoftheinformationresourceandanalytic
functionalitythatthesolutionprovides.Stakeholderswhoarenotfamiliarwith
thecapabilitiesofbusinessintelligencemightfocusonsimplyreplacingor
repairingexistinginformationoutputs.Businessanalystsexploreandevaluate
opportunitiesforadditionalvaluethatareenabledbyabusinessintelligence
solution.
.8 BABOK
GuideTechniques
(p.217)
Observation(p.305)
(p.329)
(p.344)
Estimation(p.271)
FocusGroups(p.279)
Glossary(p.286)
SWOTAnalysis(p.353)
Interviews(p.290)
ItemTracking(p.294)
UserStories(p.359)
393
Observation(p.305)
TheInformationTechnologyPerspective
11.3
Perspectives
TheInformationTechnologyPerspectivehighlightsthecharacteristicsofbusiness
analysiswhenundertakenfromthepointofviewoftheimpactofthechangeon
informationtechnologysystems.
Thisperspective
focusesonnon
agileapproaches
toITinitiatives.
Whenworkingintheinformationtechnology(IT)discipline,businessanalystsdeal
withawiderangeofcomplexityandscopeofactivities.Initiativesmaybeassmall
asminorbugfixesandenhancements,oraslargeasreengineeringtheentire
informationtechnologyinfrastructureforanextendedenterprise.Business
analystsarecalledupontoworkwiththisdiverselevelofknowledgeandskills
amongstakeholderstodelivervaluablesolutionstotheirITneeds.
Forinformation
regardingagile
approacheswithin
information
technology
initiatives,seeThe
AgilePerspective
(p.368).
Beingabletoeffectivelyarticulatethebusiness'visionandneedstotechnical
stakeholdersiscentraltothesuccessofabusinessanalystintheinformation
technologydiscipline.Businessanalystsproactivelycollaboratewithboththe
businessstakeholdersanddevelopmentteamstoensurethatneedsare
understoodandalignedwithorganizationalstrategy.Abusinessanalyst
frequentlyplaystheroleofthetranslatorwhohelpsbusinessandtechnology
stakeholdersunderstandeachother'sneeds,constraints,andcontext.The
conceptofsolutiondesignisappropriateinatechnologycontext,andfromtheIT
businessanalystspointofview.However,theterm'design',whendiscussed
withinanITsetting,isgenerallyassumedtomean'technicaldesign'orthe
utilizationoftechnologiestosolvebusinessproblems.Businessanalystswithinan
ITcontextdefineandelaboratesolutionrequirementsorparticipateinsolution
designwithbusinessstakeholderswhilemaintainingaseparationwithtechnical
design.
Important InITcontexts,theterm'design'hastraditionallybeenreservedforsolutionor
technicaldesignperformedbydevelopers,ITarchitects,orsolutionarchitects.All
workdonebyITbusinessanalystsiscoveredbytheterm'requirements',including
conceptssuchasthedefinitionanddesignofbusinessprocesses,userinterfaces,
reportsorotherelementsofthesolutionrelevanttostakeholdersoutsideofthe
implementationteam.Businessanalystsworkinginthiscontextmaypreferthe
term'solutionrequirements'insteadof'design'inordertomaintainaclear
separationofresponsibility.
Businessanalystsworkinginaninformationtechnologyenvironmentconsider
theirtasksinlightofthreekeyfactors:
Solutionimpact:thevalueandriskofthesolutiontothebusiness.
Organizationalmaturity:theformalityandflexibilityofthe
organizationalchangeprocesses.
Changescope:thebreadth,depth,complexity,andcontextforthe
proposedchange.
11.3.1
ChangeScope
ChangestoITsystemsareinitiatedforseveralreasons.
EachofthefollowingtriggerscanleadtoanITchange:
394
Perspectives
Createaneworganizationalcapability:canbeexecutedtotransform
theorganization.ThesetypesofITinitiativesmaydrivethecreationof
largerprogramstoaddressnonITchanges,butarecenteredona
technologythataltersthebusinessenvironment.
Achieveanorganizationalobjectivebyenhancinganexisting
capability:ispartofachangethatmeetsadefinedneed.Thismayinclude
changestomeetregulatoryrequirementsortoenablebusinessspecific
goals.Thesetypesofinitiativesoftenmodifyanexistingsystembutmay
alsorequireimplementationandintegrationofnewsystems.
Maintainanexistinginformationtechnologysystem:isundertakento
ensuresmoothoperationofanexistingITsystem.Dependingonthescope
ofthechange,maintenancemaybemanagedasaprojectoraregularly
scheduledactivity.Thismayincludetechnologydrivenchangessuchasa
vendordiscontinuingsupportofatechnology,scheduledreleasesor
upgradestoapurchasedsoftwarepackage,ortechnicalmodifications
requiredtosupportarchitecturestrategy.
Repairabrokeninformationtechnologysystem:isundertakenwhen
anITsystemthatisnotperformingasexpectedischangedtocorrectthe
dysfunction.Theurgencyoftherepairisgenerallybasedonthelevelof
disruptioncaused.Insomecasesthescopeoftherepaireffortisverylarge,
sotherepairismanagedasaproject.
.1 BreadthofChange
Informationtechnologyinitiativesmayfocusonasinglesystemoronmultiple
systemswhichinteractwitheachother.Somesystemsaredevelopedand
maintainedinhousewhileothersarecommercialofftheshelf(COTS)systems
developedbyanorganizationthatisexternaltothegroupimplementingthe
system.Itisalsopossiblethatanexternalorganizationcompletescustom
development,suchaswhendevelopmenttasksareoutsourcedorcontracted.
ThescopeofanITinitiativeisoftennarrowlyfocusedonsoftwareandhardware
andaminimalsetofsystems,applications,orstakeholders.Largerinitiativesmay
impactmultipleusergroupsorsystems,andoftenrequirecollaborationwiththe
extendedenterprise.TheimplementationofCOTSinformationtechnology
systemsmaybeginwithasmallorlimitedscopewhenthechangeisinitiated,but
afteranalysisiscompletethescopeisbroaderthanoriginallyanticipated.The
businessanalysisapproachforaCOTSselectionandimplementationis
approacheddifferentlythaninhousedevelopment.TheseITsystemsalmost
alwaysrequirecustomization,integration,administration,andtraining.Insome
cases,theinitiativesarelimitedtoinitialinstallationandimplementation,or
enhancementstoanexistingapplication.ITinitiativesmayalsofocusonavery
specifictechnologysolutionsuchaswhatdataisneeded,howdataisgathered,
395
Facilitateanoperationalimprovement:isundertakentoimprove
organizationalefficiencyorreduceorganizationalrisk.Thechangescope,
organizationalmaturity,andsolutionimpactdictatewhetherthesechanges
willbemanagedasaproject,partofacontinuousimprovementeffort,or
asanenhancement.
Perspectives
howitisstoredandaccessedinordertosupportbusinesstransactionmethods,
orhowinformationisreportedandavailabletothebusinessgroups.
BusinessanalystsworkinginITcarefullyconsiderthecontextforanyinformation
technologychange.Theyconsiderwhetherthechangeismanagedasaproject,a
continuousimprovement,oramaintenanceactivity.Businessanalystsalso
considerorganizationalchangemanagementandallimpactsincludingtraining,
communications,andadoptionofthechange.
ThenatureofbusinessanalysisactivitiesinanITenvironmentdependonavariety
ofsolutionimpactfactors:
Whathappenstothebusinessifthissystemshutsdown?
Whathappensifthesystemperformancedegrades?
WhatbusinesscapabilitiesandprocessesdependontheITsystem?
Whocontributestothosecapabilitiesandprocesses?
Whousesthosecapabilitiesandprocesses?
Whenconsideringthesesolutionimpactfactors,notonlydobusinessanalysts
matchtheformalityofanalysisactivitiestothebusinessanalysisprocesses
definedbytheorganization,butalsoconsidertheimportanceoftheITsystem.
Theimportanceofthesystemunderanalysismayindicatethatmoreanalysisis
neededtosupportanddefinetherequirementsforthechange.
.2 DepthofChange
ChangesinanITenvironmentfrequentlyrequirethebusinessanalysttodefine
explicitdetails,includingtechnicaldetailssuchasthedefinitionofindividualdata
elementsbeingmanipulatedorimpactedbythechange.Integrationeffortscan
requireanalysisanddefinitionatagreatlevelofdetailwhileidentifyingand
definingtheinterfacesbetweenITsystems.Duetothelevelofdetailrequiredin
thesetypesofinitiatives,businessanalystselicitandanalyzehowtheorganization
worksasawholeandhowtheITsystemwillsupportthoseoperations.This
providesthenecessarycontextforthebusinessanalysttounderstandwhether
thedetailsbeingdiscoveredanddocumentedarerelevanttodeliveringvalue.This
canbeparticularlychallengingwhenanITsystemchangeisinitiatedfor
technologydrivenreasonsbutwithoutsufficientclarityoralignmenttobusiness
purpose.
Informationtechnologysystemsareimplementedtoincreaseorganizational
value,whichincludesanysupportcapabilitiesandprocessesthatusethesystem.
BusinessanalystsseektoalignITfunctionalitytotheseprocessesandcapabilities,
andtomeasuretheeffectthatthesystemhasonthem.
ChangestoITsystemscanincreasevaluemanyways,including:
reducingoperatingcosts,
decreasingwastedeffort,
396
Perspectives
increasingstrategicalignment,
increasingreliabilityandstability,
automatingerrorproneormanualprocesses,
repairingproblems,
makingitpossibletoscaleup,enhance,ormakemorereadilyavailablea
businesscapability,and
implementingnewfunctionalityandnewcapabilities.
.4 DeliveryApproach
Shorttimeframeinitiativesmayinvolveasinglebusinessanalystforashortperiod
oftime.Largereffortsfrequentlyinvolveseveralbusinessanalystswhomay
coordinateanalysisactivitiesinseveralways.Businessanalystsmaydividework
basedonbusinessgroupinvolvedorbyspecificactivity.
.5 MajorAssumptions
ThefollowingisalistofmajorassumptionsoftheITdiscipline:
businesscapabilitiesandprocessesthatuseanITsystemaredeliveringvalue
totheorganization,
businessanalystsworkingfromotherperspectivescanintegratetheirwork
withtheworkoftheITbusinessanalysts,and
ITsystemschangesareusuallydrivenbyabusinessneed,althoughsome
initiativesmayoriginatefromwithintechnologydevelopments.
11.3.2
.1 ChangeSponsor
Informationtechnologychangesmayberequestedorsponsoredbybusiness
sponsors,ITdepartments,orasacollaborationbetweenthetwo.Thesechanges
shouldaligntoorganizationalstrategyandbusinessgoals.ItispossibleforanIT
departmenttoinitiatechangetoalignwithtechnicalstrategyorreachtechnical
goals,butanoverallorganizationalstrategyalignmentisstillcrucialforchange
success.
Thefollowinglistrepresentspossiblechangesponsors:
technicalteam,
technicalexecutive,
applicationowner,
397
ThedeliveryofbusinessanalysisactivitieswithinanITorganizationvariesgreatly.
Initiativesmayrangefromsmallenhancementeffortswhicharecompletedwitha
single,shorttimeframereleasescheduletomultirelease,phased
implementations.
Perspectives
processowner,
businessowner,
internalproductmanager,and
regulatoryrepresentative(suchasacorporatelegaldepartment).
Enterprisesmayusemanymethodstoinitiatechangesrelatedtoinformation
technology.Frequently,largeenterprisesdefineaprogramorproject
managementofficewithintheITdepartment,whichintakesrequestsand
prioritizeseffortsonbehalfofthedepartment.
.2 ChangeTargets
Businessanalystsidentifyallpossibledepartments,processes,applications,and
functionswhichcanbeimpactedbytheproposedchange.Abusinessanalystnot
onlyfocusesondetailsoftheinitiative,butalsokeepsaneyeonthelargerpicture
andthepotentialimpact(bothbusinessandtechnical)ofthechange.This
involvesalevelofprocessandfunctionalanalysiswithspecificfocusonboth
technicalinterfacesaswellasprocesshandoffs.
WithinanITinitiative,thebusinessanalysisactivitiesmaybefilledbypersonnel
withoneofseveraltypesofbackgroundsorjobtitleswithintheorganization.
Thisassignmentmaybedependentuponthetypeofchange,thelevelof
experience,knowledgeneeded,orsimplythepersonnelavailabletostaffthe
effort.Thepersonnelmaybeassignedtothebusinessanalysistasksduetothe
experiencedescribedbelow,andmaycompletesomeorallofthebusiness
analysisresponsibilitiesforagivenchange.
ItispossiblethatallbusinessanalysistasksforanITprojectmaybecompletedby
apersonwithonlyoneofthesebackgrounds:
abusinessanalystwhoworksspecificallywiththebusinessusersofanIT
system,
anITbusinessanalystwhoisthedesignatedliaisonbetweenthetechnical
teamandthebusinessgroupwhichusestheapplication,
asubjectmatterexpert(SME)experiencedwiththecurrentsoftware
implementation,
asoftwareuserexperiencedwiththedailyactivityofhowthesoftwareis
usedandcanfocusonusability,
asystemsanalystwhohasexperiencewithinthebusinessdomain,butdoes
nothaveexperiencewiththespecificapplication,
abusinessprocessownerwhohasadepthofexperiencewiththebusiness
capabilitiesorprocesses,butmaynothaveanytechnicalorITexperience,
atechnicalpersonwithadepthoftechnicalexperience,or
398
Perspectives
aCOTSrepresentativewhowillallowforcustomizedimplementationsofa
packagedsolution,andleveragetheknowledgeofthevendor'spackage
andpastimplementationexperience.
WithinanITinitiative,abusinessanalystmayconsiderbusinessprocesses
impactedbythechange,aswellasthedataandbusinessintelligenceinformation
collectedbythesystem.Businessanalystsworkingintheinitiativethoroughly
planthebusinessanalysiseffortandthedeliverablesthatsupportthechange
effort.
BusinessanalystsworkingintheITdisciplineareresponsiblefordeliveringanyof
thefollowing:
defined,complete,testable,prioritized,andverifiedrequirements,
analysisofalternatives,
businessrules,
gapanalysis,
functionaldecomposition,
usecasesandscenarios,and/oruserstoriesasappropriate,
interfaceanalysis,
prototypes,
processanalysis,
processmodels,
statemodels,
decisionmodels,
contextmodelsorscopemodels,and
datamodels.
Additionaldeliverablesnotincludedintheabovelistbutrelatingtoanyofthe
outputsofbusinessanalysistechniquesusedmayalsobeconsidereddeliverables
ofthebusinessanalyst.
399
Thechangeapproachbeingutilizedhasadirectimpactonbusinessanalysis
deliverablesoroutcomes.Manyorganizationshaveadefinedsystemorsolution
developmentmethodologywhich,tosomeextent,dictatesthedeliverableswhich
arerequiredateachprojectmilestone.Evenwithinthecontextofthisstructure
thebusinessanalystmayseektocompleteadditionaldeliverablesbeyondthose
requiredbythechangeapproachororganizationspecificprocess,andemploy
techniqueswhichsupportthecomprehensiveunderstandingofthechangeeffort
needed.
11.3.3
Perspectives
Methodologies
Themethodologiesfollowedbyinformationtechnologyorganizationsvary
widely.
Ingeneral,solutiondevelopmentmethodologiesfallintotwogeneric
approaches:
Predictive:structuredprocesseswhichemphasizeplanningandformal
documentationoftheprocessesusedtocompletethechange.Eachphase
oftheprocessorsequenceiscompletedbeforeadvancingtothenext
phase.
Adaptive:processeswhichallowforreworkingwithinoneormoreofthe
overallstructuredprocesscycles.Mostadaptivemodelsarebothiterative
andincremental,focusingongrowingtheproductinbothbreadthand
depth.
Ahybridmethodologymayalsobeutilized.Ahybridmayincludeanoverallvision
forthewholeinitiative(asinpredictive),aswellasadefinitionofdetailswithin
individualcyclesoriterations(asinadaptive).
Thefollowingtableidentifiesseveralestablishedmethodologiesorapproaches
thatabusinessanalystpracticinginaninformationtechnologyenvironmentmay
encounter.
Table11.3.1:InformationTechnologyMethodologies
11.3.4
Methodology
BriefDescription
Homegrownor
OrganizationSpecific
Amethodologywhichisderivedfromcomponentsof
otherestablishedmethodologiesorapproachesmay
becreatedbyaninformationtechnologyorganization
togoverninformationtechnologybasedinitiatives.
Requirements
Engineering(RE)
Establishesastructuredapproachforrequirements
developmentandmanagementandisusedin
predictive,adaptive,andagileenvironments.
StructuredSystems
AnalysisandDesign
Method(SSADM)
Apredictivedevelopmentmethodologythatfocuses
onestablishedlogicalmodellingandtheseparationof
requirementsfromsolutionsascentraltosystems
analysisandspecification.
UnifiedProcess(UP)
Anadaptivedevelopmentapproach.Theinceptionand
elaborationphasesareofparticularinteresttobusiness
analysts.UPisnotconsideredagilebutisanadaptive
methodology.
AbusinessanalystworkingwithinITmaypossessskillsrelatedtoITdevelopment
suchasprogramming,creatingadatabase,creatingasystemorsolution
400
Perspectives
architecture,softwaretestingexperience,orothertechnicalskills.However,
developmentrelatedskillsortechnicalskillsarenotnecessaryforabusiness
analysttobesuccessfulwithinanITenvironment.Itisimportantforthebusiness
analysttohaveastrongunderstandingofthedetailrequiredwithina
requirementspackagetosupporttechnicalsolutions,aswellasanunderstanding
ofwhatistechnicallyfeasiblewithintheconstraintsofanorganizationstechnical
architecture.Theseskillswillenableabusinessanalysttoworkwithall
stakeholderstodesignabusinesssolutionframeworkwhichwillalsoallowthe
technicalteamtheflexibilitytodesignatechnicalsolution.
SystemsthinkingisacrucialcompetencyforbusinessanalystspracticinginanIT
environment.Systemsthinkingsupportstheabilityofthebusinessanalysttosee
thelargerpictureincludinganyotherapplicationsortechnicalaspectswhichmay
beimpacted,thedetailsofthespecificneed,andpossibletechnicalsolutions.
Systemsthinkingalsosupportstheabilitytoidentifyimpactstopeople,processes,
andsoftwarewhicharenotnecessarilydirectlychangedaspartofanIT
developmenteffort,andtoanalyzetherisksandpossibleoutcomesofthose
impacts.
11.3.5
Thissectionexplainshowspecificbusinessanalysispracticeswithininformation
technologyaremappedtobusinessanalysistasksandpracticesasdefinedbythe
BABOKGuide.Italsodescribeshoweachknowledgeareaisappliedormodified
withintheITdiscipline.
EachknowledgearealiststechniquesrelevanttoanITperspective.Techniques
usedinthedisciplineofinformationtechnologydonotdeviate,toanygreat
extent,fromtheBABOK Guidetechniques.BABOK Guidetechniquesare
foundintheTechniqueschapteroftheBABOK Guide.Thisisnotintendedtobe
anexhaustivelistoftechniquesbutrathertohighlightthetypesoftechniques
usedbybusinessanalystswhileperformingthetaskswithintheknowledgearea.
Abusinessanalysisapproachisafundamentalcommunicationtoolwhichcanbe
usedtoidentifyresourcesrequiredforbusinessanalysisworkandensure
adequatetimefortheanalysiseffort.Awelldefinedbusinessanalysisplan
integratesintotheoverallprojectplanandprovidesbusinessanalystswiththe
opportunitytodefineandschedulethebusinessanalysisactivitiesfortheproject.
Manyorganizationshavesomestandardsandprocessesinplace,whichmay
identifycertainanalysistasksanddeliverables.Ifthesearenotinplace,the
businessanalystidentifiesthesetasksanddeliverablesbasedontheneedsofthe
specificinitiative.
401
Businessanalystsuseinfluencingandfacilitationskillswhenworkingwith
stakeholders.Negotiationskillsarefrequentlyusedwhenworkingwithbusiness
andtechnicalstafftocometoagreementsanddecisionsifthecostsofasolution
(eitherinbudget,time,orarchitecturalimpact)conflictwiththedesiredbusiness
outcome.
Perspectives
Itisimportantthatthecontextoftheanalysisworkisunderstood.Thisincludes
understandingtheinteroperationofsoftwaresystems,businessprocesses,and
thedatathatispassedfromonesystemtothenext.Changestoanysinglesystem
orprocessmayhavearippleeffectthatbringsadditionalsystems,processes,or
stakeholdergroupsintothescopeoftheinitiative.
TheITbusinessanalystmaybeembeddedwithinasoftwareteam.Thisapproach
allowsthebusinessanalysttobecomequiteknowledgeableaboutspecific
softwareorprocessessupportedbythesoftware.Stakeholderattitudesand
needsmaychangeorshiftinregardstoeachparticularchange.Roles,
collaboration,andcommunicationplansareplannedforeverychangeeffort.
COTSsolutionscaninvolvemajorsystemsintegrationefforts,customizations,and
manyunexpectedtasksduetotheintroductionofexternalsoftware.When
planningforunknownimpactsandunknowncustomizationneeds,business
analystsengagebothinternalstakeholderswhounderstandtheneedsofthe
change,andexternalstakeholderswhohaveexpertisewiththeCOTSsolution
beingimplemented.
(p.333)
Estimation(p.271)
ItemTracking(p.294)
(p.344)
Informationtechnologychangesfrequentlyaffectmanystakeholderswith
distinctrelationshipstothesolutionorchange.WhenachangeinvolvesanIT
applicationorsystem,thetechnicalstaffmayhaveexpertise,perspectives,or
experiencethatcanidentifyadditionalimpactstosystemsorprocessesas
requirementsandsolutionsaredefined.Forthisreason,itisbeneficialtohaveat
leastoneelicitationsessionwithITtechnicalpersonnel,suchasdevelopmentor
technicaldesignstaff,andbusinessSMEsinthesameroomatthesametime.This
typeofelicitationapproachprovidesaplatformforcollaborationbetween
technicalandbusinessteams,wheretheITbusinessanalystservesasafacilitator
andliaisonfortheprocess.
BusinessanalystspracticinginanITenvironmentmayutilizeanyofthe
techniquesidentifiedintheElicitationandCollaborationknowledgearea.
Additionally,thefollowingmethodscanbeofgreatbenefitintheinformation
technologydiscipline:
Investigation:usingorganizationalprocessassets,marketresearch,
competitiveanalysis,functionalspecifications,andobservation,
402
Perspectives
Simulations:usingstatisticalmodellingandmockups,and
Experimentation:usingproofsofconcept,prototypes,alphaandbeta
releases,andA/Btesting.
Informationtechnologychangescanbeseenasadistractionorcostbybusiness
stakeholdersifthechangeisnotperceivedasmissioncriticalorifthestakeholder
isexperiencingnegativevaluefromthechange.Thiscanmakeengagementfor
elicitationchallenging.Elicitationacrossorganizationalboundariesmaybe
impeded,causingcollaborationbreakdownsandrework.ITbusinessanalystscan
decreasetheriskofreworkbyengaginginformationtechnologyandbusiness
resourcesincollaborationactivities.
Prototyping(p.323)
FocusGroups(p.279)
(p.344)
Interviews(p.290)
Observation(p.305)
Workshops(p.363)
ITinitiativesfrequentlyexperiencemajordiscoverieswhilecreatingthechange.It
isthroughexplorationthatthebusinessanalystsdiscovertheimplicationsofthe
newfunctionalityprovidedbythesolution.ThissenseofdiscoveryinIT
environmentshasledtotheadaptationofshortcycletimes(agileandcontinuous
improvement),rigorouschangecontrol(CapabilityMaturityModelIntegration
(CMMI)andpredictive),andexternalizedinformationtechnology(Softwareasa
Service(SaaS)andcloudservices).
BusinessanalystsworkinginITpayparticularattentiontoalignment,approval,
changecontrol,traceability,andrequirementslifecyclemanagementtools.Itis
theroleofthebusinessanalysttoworkwithstakeholderstodevelopaconsistent
methodforreviewingevolvingrequirementstoensurealignmentwiththe
businessobjectivesfortheinitiative.
Inmanycases,changestoapprovedrequirementsaredrivenbychangesto
higherlevelrequirementssuchasbusinessobjectives.Businessanalysts
collaboratewithstakeholderstoensuretheserequirementsarestablebefore
proceedingtosolutionortechnicalrequirements.Whenchangestorequirements
arepresented,thebusinessanalystanalyzestheimpactandplanshowtomanage
proposedchanges.
Asthecomplexityofaninformationtechnologyenvironmentgrows,itbecomes
increasinglyimportanttotrackeachchangetoeachrequirementorbetween
403
Perspectives
requirementsandotherinformation.Traceabilitythatincludesdependenciesand
relationshipsamongrequirementsmakesiteasierforstakeholderstounderstand
whatischangingabouttheITsystemandpredictimpactsofadditionalchanges.
Astechnicalsystemsarechangedovertime,itishelpfulwheneachversionof
eachrequirementisstoredinsomewayandaccountedfor.Traceabilitymakesit
possibletofindthesourceandownerofeachrequestedfunctionandfeature,as
wellaswhy,when,andhowitchangedovertime.Thishistoryisimportantfor
ensuringthattherequirementsarecompleteandthattheapprovalof
requirementsisasensibledecision.WhenthechangeworkandtheITsystemare
audited,regulatorsandotherinterestedpartiescanunderstandwhathappened,
when,andwhy.Thiscanbeespeciallyimportantforauditpurposes,whenan
applicationmanagesdataorprocessessystematicallywithouthumanintervention
foreachtransactionorinstanceoftheprocessoccurring.Thistracingalsohelps
theorganizationunderstandwhysomefunctionalityisnotdeliveredor
implementedintheITsystem,andwhyitwasdroppedfromthescopeofthis
implementation.
(p.217)
ItemTracking(p.294)
.4 StrategyAnalysis
WithinanITorganization,strategyanalysisfocusesonthetechnologiesand
systems,businessunits,businessprocesses,andbusinessstrategiesimpactedbya
proposedchange.Itispossiblethattheimpactsofachangecausearippleeffect
throughothersystemsintheorganization.Inordertoanalyzeneedsand
proposedchanges,businessanalystsseektounderstandallthevariousaspects
thatmaybeimpactedbythechange.
CurrentstateanalysiswithinITinitiativesincludesanalysisofmanualprocesses,
understandingwhatthesystemortechnologycurrentlydoes,thedataneededto
completetasks,andtheothersystemsandprocessesthatinteractwiththe
system.Businessanalystsplanforathoroughunderstandingofthecurrentstate
andalargecontextoftheenterpriseatfirst,withtheunderstandingthatthe
scopewillnarrowasthefuturestateisidentified.
Oncethecurrentstateisunderstood,thedesiredfuturestateisdescribed.This
maybeprocessorcapabilityrelatedandusuallyincludeshowcurrentsystem
functionalityisrequiredtochangeinordertosupportthefuturevisionandmeet
theobjectivesofbothindividualstakeholdersandtheenterprise.In
understandingboththecurrentandfuturestates,thegapbetweenthetwois
identified,andthatiswherethedirectionofthechangeeffortcanbeset.Itisat
thispointofanalysisthatsolutionoptionsareexplored.
Oncetheaspectsofthechangescopeanddesiredfuturestateareunderstood,
businessanalystsassessuncertaintyandrisk.Uncertaintyisclarifiedby:
404
Perspectives
identifyinganddefiningrisks,
identifyinganddefiningpotentialbenefits,
establishingparametersforvarianceinknownprocessesandoperations,
and
exploringtheunknown.
Businessanalystsalsoexploreotherpotentialrisksincluding:
vendorrisks,suchastheirbusinessandproductstability,
impactstothesystemstechnicalenvironment,
scalabilityofthesolutionshouldvolumesoftransactionsorusersincrease
overtime,and
FocusGroups(p.279)
Interviews(p.290)
SWOTAnalysis(p.353)
ItemTracking(p.294)
Observation(p.305)
Workshops(p.363)
ItisimportantforbusinessanalystsworkinginITtounderstandandclarifythe
term'design'.ManyITorganizationsthinkofdesignonlyasitappliestothe
designorblueprintofasoftwareortechnicalchange.WithintheRequirements
AnalysisandDesignDefinitionknowledgearea,thetermdesignisviewedmore
broadlyandfromthebusinessanalystspointofview.Designsareusable
representationsthatfocusonthesolutionandunderstandinghowvaluemightbe
realizedbyasolutionifitisbuilt.Forexample,amodelofapotentialprocess
improvement(whetheritimpactsorutilizesanITsystemornot),aswellasuser
interfacelayoutsorreportdefinitions,canallbeconsidereddesigns.
Businessanalystselaboratebusinessandtechnicalrequirements,breakdownand
definestakeholderneeds,andidentifythevaluetoberealizedbystakeholders
onceatechnicalsolutionorchangeisimplemented.Theyelicit,define,and
analyzebusinessandstakeholderrequirements,andalsodefine,analyze,and
modelsolutiondesigns.Theydefinerequirementstoaleveloftechnicaldetail
thatwillbeusedaspartofsolutiondesignandinputintotechnicaldesigns.This
elaborationwillincludebothfunctionalrequirementsandnonfunctional
405
additionalprocessorsystemchangesrequiredbasedonthechange
initiated.
Perspectives
requirements.Forsomechangeinitiatives,thedefinitionofnonfunctional
requirementscoulddefineallbusinessgoalsforthechangeeffort.
Businessanalystsoftenrelyonotherchangeagentstoproducetechnicaldesigns
forsoftwaresolutions.Asystemsarchitect,programmer,databasemanager,or
othertechnicalexpertisoftenneededtodeterminehowtousetechnologyto
satisfyasetofrequirements.ITbusinessanalystsdefineprocesssteps,business
rules,screenflows,andreportlayouts.Definingrequirementstoincludedetailed
functionalityofasystem,thebusiness,andsystemprocessesisacrucialpartof
solutiondesignanddoesnotseparateanalysisanddesign.
Aspartofrequirementsanalysis,anITbusinessanalystmaypartnerwithanother
businessanalystwithadifferentfocus,suchasanenterprisebusinessanalystor
businessarchitect,toensurethattheITrequirementsaligntobusinessor
organizationalstrategy.
Requirementsanalysisanddesigndefinitionfrequentlyinvolvesdocumenting
requirementsusingwordsandpictures.Insomecases,requirementsmaybe
representedinotherwayssuchasaproofofconcept,workingsoftware
prototypes,orsimulations.Inallcases,thebusinessanalystworkstoproduce
documentationwithsufficientandappropriatedetailsfor:
thebusinesstoverifyandvalidatetherequirements,
thedeveloperstodesignfrom,and
thetesterstomeasurethesolutionagainstbeforeitisimplementedintoa
productionenvironment.
Analysis(p.302)
Prototyping(p.323)
Reviews(p.326)
(p.333)
Estimation(p.271)
Glossary(p.286)
UserStories(p.359)
Solutionevaluationfocusesonsolutioncomponentsandthevaluetheyprovide.
WithinanITcontext,thisincludesafocusontheinteractionsbetweenmultiple
406
Perspectives
systemswithinthechangeandthesurroundingenvironment.Itisimportantfora
businessanalystworkingintheITdisciplinetounderstandthecontextofthe
solutionandhowchangeswithinonesystemorprocesscanimpactothersystems
withintheenvironment.Theseimpactscanaddnegativeorpositivevaluetothe
othersystems,thereforeimpactingtheoverallrealizationofvalueforthechange.
BusinessanalystsmakethemselvesawareoftherationaleforimplementinganIT
solutionandhowthatrationaleworkstocreatesolutionvalue.Thisvalue
realizationiscommonlyassociatedwithbettersupportforbusinessprocessesand
procedures.
Businessandtechnicalobjectivesareassociatedwithbenefitsandvalue
realizationwhicharemeasuredagainstdefinedmetricsusedtoevaluatesuccess.
Requirementsshouldtracebacktotheobjectives,andthistraceabilityprovidesa
foundationforsolutionevaluation.Theanalysisofsolutionperformancefocuses
ontechnicalsystemsandhowtheyprovidepotentialandactualvalueto
stakeholders.
WherealargeorganizationalchangecontainsanITelement,anITsolution
evaluationcancontributetoabroaderbenefitsrealizationactivityassociatedwith
thewholechangeprogram.
Aspartofsolutionevaluationactivities,abusinessanalystmayworkwithateam
tocompletetasks,suchasassessingsolutionlimitationsandassessingthe
impactsofsuchlimitations.Thebusinessanalystmaysupportandassesstechnical
testingeffortsforall,oraportionof,thedevelopedsolution.
(p.217)
(p.329)
Estimation(p.271)
SWOTAnalysis(p.353)
ItemTracking(p.294)
407
OneaspectofsolutionevaluationwithinanITcontextissoftwaretestingor
solutiontesting.Testingorqualityassuranceensuresthatthesolutionperformsas
anticipatedordesigned,andthatitmeetstheneedsofthebusinessor
stakeholderswhorequestedthechangeeffort.Thebusinessanalystworkswith
qualityassurance(testers)toensurethattechnicalsolutionswillmeetthe
businessneedsasdefinedbytherequirementsandotherbusinessanalysis
deliverables.Testersutilizetestingmethodologiestoplan,develop,andexecute
tests.Thisaspectofsolutiontestinggenerallyfocusesoncompleteprocess
testing,includingacrosssystemstoensureendtoendsolutionqualityand
accuracy.Businessanalystsworkwithstakeholderstoplan,develop,andexecute
useracceptanceteststoensurethatthesolutionmeetstheirneeds.
TheBusinessArchitecturePerspective
11.4
Perspectives
TheBusinessArchitecturePerspectivehighlightstheuniquecharacteristicsof
businessanalysiswhenpracticedinthecontextofbusinessarchitecture.
Businessarchitecturemodelstheenterpriseinordertoshowhowstrategic
concernsofkeystakeholdersaremetandtosupportongoingbusiness
transformationefforts.
Businessarchitectureprovidesarchitecturaldescriptionsandviews,referredtoas
blueprints,toprovideacommonunderstandingoftheorganizationforthe
purposeofaligningstrategicobjectiveswithtacticaldemands.Thedisciplineof
businessarchitectureappliesanalyticalthinkingandarchitecturalprinciplestothe
enterpriselevel.Thesolutionsmayincludechangesinthebusinessmodel,
operatingmodel,organizationalstructure,ordriveotherinitiatives.
Businessarchitecturefollowscertainfundamentalarchitecturalprinciples:
Scope:thescopeofbusinessarchitectureistheentireenterprise.Itisnota
singleproject,initiative,process,orpieceofinformation.Itputsprojects,
processes,andinformationintothelargerbusinesscontexttoprovidean
understandingofinteractions,integrationopportunities,redundancies,and
inconsistencies.
Separationofconcerns:businessarchitectureseparatesconcernswithin
itscontext.Itspecificallyseparateswhatthebusinessdoesfrom:
theinformationthebusinessuses,
howthebusinessisperformed,
whodoesitandwhereintheenterpriseitisdone,
whenitisdone,
whyitisdone,and
howwellitisdone.
Oncetheindependentconcernsareidentified,theycanbegroupedin
specificcombinationsormappings,whichcanbeusedtoanalyzetargeted
businessissues.
Scenariodriven:therearemanydifferentquestionsthatabusinesstriesto
answertoprovidetheblueprintforalignment.Eachofthesedifferent
questionsorbusinessscenariosrequiresadifferentsetofblueprints
containingadifferentsetofinformationandrelationships,withdifferent
typesofoutcomesandmeasurestodeterminesuccess.
Knowledgebased:whiletheprimarygoalofbusinessarchitectureisto
answerthesebusinessquestions,asecondarybutimportantgoalisto
collectandcataloguethedifferentarchitecturalcomponents(what,how,
who,why,etc.)andtheirrelationshipsinaknowledgebasesotheycan
quicklyandeasilybeusedtohelpanswerthenextbusinessquestionthat
comesup.Theknowledgebaseisoftenmanagedinaformalarchitectural
repository.
408
Perspectives
11.4.1
ChangeScope
.1 BreadthofChange
Businessarchitecturemaybeperformed:
acrosstheenterpriseasawhole,
acrossasinglelineofbusinesswithintheenterprise(definingthe
architectureofoneoftheenterprise'sbusinessmodels),or
acrossasinglefunctionaldivision.
.2 DepthofChange
Abusinessarchitectureeffortmayfocusontheexecutiveleveloftheenterpriseto
supportstrategicdecisionmaking,oronthemanagementleveltosupportthe
executionofinitiatives.
Whilebusinessarchitectureprovidesimportantcontext,itdoesnotusually
operateattheoperationaldecisionorprocesslevelinstead,itassessesprocesses
atthelevelofthevaluestream.
Businessarchitecture,usingtheprincipleofseparationofconcerns,develops
modelsthatdecomposethebusinesssystem,solution,ororganizationinto
individualelementswithspecificfunctionsandshowstheinteractionsbetween
them.
Theelementsofbusinessarchitecturemodelsinclude:
capabilities,
value,
processes,
informationanddata,
organization,
reportingandmanagement,
stakeholders,
securitystrategies,and
outcomes.
409
Businessarchitectureactivitiesaregenerallyperformedwithaviewoftheentire
enterpriseinmind,butmayalsobeperformedforanautonomousbusinessunit
withintheenterprise.Abroadscopeisrequiredtomanageconsistencyand
integrationattheenterpriselevel.Forexample,businessarchitecturecanclarifya
situationwherethesamebusinesscapabilityisimplementedbymultipledifferent
processesandmultipledifferentorganizationsusingdifferentinformation
models.Giventheclaritythatcomesfromanenterprisescope,thebusinesscan
thendetermineifthisstructureisthebestwaytoalignwithstrategicobjectives.
Perspectives
Architecturemodelsenableorganizationstoseethebigpictureofthedomain
thatisunderanalysis.Theyprovideinsightsintotheimportantelementsofthe
organizationorsoftwaresystemandhowtheyfittogether,andhighlightthe
criticalcomponentsorcapabilities.
Theinsightsprovidedbybusinessarchitecturehelpkeepsystemsandoperations
functioninginacoherentandusefulmanner,andaddclaritytobusiness
decisions.Whenchangeisbeingconsidered,thearchitectureprovidesdetailson
theelementsthataremostrelevantforthepurposesofthechange,allowingfor
prioritizationandresourceallocation.Becauseanarchitecturalmodelalsoshows
howthepartsarerelated,itcanbeusedtoprovideimpactanalysistotellwhat
otherelementsofthesystemorthebusinessmightbeaffectedbythechange.
Thearchitectureitselfcanbeusedasatooltohelpidentifyneededchanges.The
performancemetricsforeachelementofthearchitecturecanbemonitoredand
assessedtoidentifywhenanelementisunderperforming.Theimportanceof
eachelementcanbecomparedwiththeperformanceoftheorganizationor
systemasawhole.Thisassistsdecisionmakerswhenconsideringwhere
investmentisneededandhowtoprioritizethosedecisions.
Thefunctionofbusinessarchitectureistofacilitatecoordinatedandsynchronized
actionacrosstheorganizationbyaligningactionwiththeorganization'svision,
goals,andstrategy.Thearchitecturalmodelscreatedinthisprocessarethetools
usedtoclarify,unify,andprovideunderstandingoftheintentofthevision,goals,
andstrategy,andtoensurethatresourcesarefocusedandappliedtothe
elementsoftheorganizationthatalignwithandsupportthisdirection.
Businessarchitectureprovidesablueprintthatmanagementcanusetoplanand
executestrategiesfrombothinformationtechnology(IT)andnonITperspectives.
Businessarchitectureisusedbyorganizationstoguide:
strategicplanning,
businessremodelling,
organizationredesign,
performancemeasurementandothertransformationinitiativestoimprove
customerretention,
streamliningbusinessoperations,
costreduction,
theformalizationofinstitutionalknowledge,and
thecreationofavehicleforbusinessestocommunicateanddeploytheir
businessvision.
.4 DeliveryApproach
Businessarchitecturecreatesaplanningframeworkthatprovidesclarityand
insightintotheorganizationandassistsdecisionmakersinidentifyingrequired
changes.Thearchitecturalblueprintsprovidedbybusinessarchitectureprovidean
insightandunderstandingofhowwelltheorganizationalignstoitsstrategy.This
insightisthetriggerforchangeorotherplanningactivities.
410
Perspectives
Foreachblueprintprovided,businessarchitecturemaydefine:
currentstate,
futurestate,and
oneormoretransitionstatesthatareusedtotransitiontothefuturestate.
Businessarchitectsrequireaviewoftheentireorganization.Ingeneral,theymay
reportdirectlytoamemberofseniorleadership.Businessarchitectsrequirea
broadunderstandingoftheorganization,includingits:
environmentandindustrytrends,
structureandreportingrelationships,
valuestreams,
processes,
informationanddatastores,and
howalltheseelementsaligntosupportthestrategyoftheorganization.
Businessarchitectsplayanimportantroleincommunicatingandinnovatingfor
thestrategyoftheorganization.Theyutilizeblueprints,models,andinsights
providedbybusinessarchitecturetocontinuallyadvocateforthestrategyofthe
organizationandaddressindividualstakeholderneedswithinthescopeofthe
organization'sgoals.
Thereareseveralfactorscentraltoasuccessfulbusinessarchitecture:
supportoftheexecutivebusinessleadershipteam,
integrationwithclearandeffectivegovernanceprocesses,including
organizationaldecisionmakingauthorities(forexample,forinvestments,
initiatives,andinfrastructuredecisions),
integrationwithongoinginitiatives,(thismightincludeparticipationin
steeringcommitteesorothersimilaradvisorygroups),and
accesstoseniorleadership,departmentalmanagers,productowners,
solutionarchitects,projectbusinessanalysts,andprojectmanagers.
.5 MajorAssumptions
Tomakebusinessarchitectureusefultotheorganization,businessanalysts
require:
aviewoftheentireorganizationthatisunderanalysis,
fullsupportfromtheseniorleadership,
participationofbusinessownersandsubjectmatterexperts(SMEs),
anorganizationalstrategytobeinplace,and
abusinessimperativetobeaddressed.
411
capabilities,
11.4.2
Perspectives
.1 ChangeSponsor
Ideally,thesponsorofabusinessarchitectureinitiativeisaseniorexecutiveor
businessownerwithintheorganization.However,thesponsormayalsobealine
ofbusinessowner.
.2 ChangeTargets
Thefollowinglistidentifiesthepossibleprimarychangetargetsresultingfroma
businessarchitectureanalysis:
businesscapabilities,
businessvaluestreams,
initiativeplans,
investmentdecisions,and
portfoliodecisions.
Thefollowinggroupsofpeopleusebusinessarchitecturetoguidechangewithin
theorganization:
managementatalllevelsoftheorganization,
productorserviceowners,
operationalunits,
solutionarchitects,
projectmanagers,and
businessanalystsworkinginothercontexts(forexample,attheproject
level).
Thegoalofabusinessanalystworkingwithinthedisciplineofbusiness
architectureisto:
understandtheentireenterprisecontextandprovidebalancedinsightinto
alltheelementsandtheirrelationshipacrosstheenterprise,and
provideaholistic,understandableviewofallthespecialtieswithinthe
organization.
Businessarchitectureprovidesavarietyofmodelsoftheorganization.These
models,orblueprints,provideholisticinsightintotheorganizationthatbecomes
thebasisforstrategicdecisionsbytheleadersoftheorganization.Todevelopa
businessarchitecture,thebusinessanalystmustunderstand,assimilate,andalign
awidevarietyofspecialtiesthatareofstrategicconcerntotheorganization.To
412
Perspectives
dothistheyrequireinsight,skills,andknowledgefrom:
businessstrategyandgoals,
conceptualbusinessinformation,
enterpriseITarchitecture,
processarchitecture,and
businessperformanceandintelligencearchitecture.
Businessarchitecturesupportsthestrategicadvisoryandplanninggroupsthat
guideandmakedecisionsregardingchangewithintheorganization.Itprovides
guidanceandinsightsintohowdecisionsaligntothestrategicgoalsofthe
organization,andensuresthisalignmentthroughoutthevarioustransitionstates
asthechangemovestowardsitsfuturestate.
Businessarchitectureprovidesabroadscopeandaholisticviewforbusiness
analysis.
Thegeneraloutcomesofbusinessarchitectureinclude:
thealignmentoftheorganizationtoitsstrategy,
theplanningofchangeintheexecutionofstrategy,and
ensuringthataschangeisimplemented,itcontinuestoaligntothe
strategy.
Thesebusinessarchitectureoutcomesprovidecontextforrequirementsanalysis,
planningandprioritization,estimation,andhighlevelsystemdesign.This
providesinsightandalignmentwithstrategy,stakeholderneeds,andbusiness
capabilities.Architecturalviewsandblueprintsprovideinformationthatmayhave
otherwisebeenbasedonassumptions,andminimizetheriskofduplicationof
effortsincreatingcapabilities,systems,orinformationthatalreadyexist
elsewhereintheenterprise.
Thevariousmodelsandblueprintsprovidedbybusinessarchitectureareitskey
deliverables.Theseinclude,butarenotlimitedto:
businesscapabilitymaps,
valuestreammaps,
organizationmaps,
businessinformationconcepts,
highlevelprocessarchitecture,and
businessmotivationmodels.
413
11.4.3
Perspectives
ReferenceModelsandTechniques
.1 ReferenceModels
Referencemodelsarepredefinedarchitecturaltemplatesthatprovideoneor
moreviewpointsforaparticularindustryorfunctionthatiscommonlyfound
acrossmultiplesectors(forexample,ITorfinance).
Referencemodelsarefrequentlyconsideredthedefaultarchitectureontologyfor
theindustryorfunction.Theyprovideabaselinearchitecturestartingpointthat
businessarchitectscanadapttomeettheneedsoftheirorganization.
Thefollowtablelistssomeofthecommonreferencemodels.
Table11.4.1:BusinessArchitectureReferenceModels
ReferenceModel
Domain
AssociationforCooperative
OperationsResearchand
Development(ACORD)
InsuranceandFinancialindustries
BusinessMotivationModel
(BMM)
Generic
ControlObjectivesforIT(COBIT)
ITgovernanceandmanagement
eTOMandFRAMEWORX
Communicationssector
FederalEnterpriseArchitecture
ServiceReferenceModel(FEA
SRM)
Government(developedfortheU.S.Federal
Government)
InformationTechnology
InfrastructureLibrary(ITIL )
ITservicemanagement
ProcessClassificationFramework
(PCF)
Multiplesectorsincludingaerospace,
defence,automotive,education,electric
utilities,petroleum,pharmaceutical,and
telecommunications
SupplyChainOperations
Reference(SCOR)
Supplychainmanagement
ValueReferenceModel(VRM)
Valuechangeandnetworkmanagement
.2 Techniques
Thefollowingtableliststechniquesthatarecommonlyusedwithinthediscipline
ofbusinessarchitecture,andarenotincludedintheTechniquessectionofthe
BABOK Guide.
414
Perspectives
Table11.4.2:BusinessArchitectureTechniques
Description
Archimate
Anopenstandardmodellinglanguage.
Business
MotivationModel
(BMM)
Aformalizationofthebusinessmotivationintermsof
mission,vision,strategies,tactics,goals,objectives,
policies,rules,andinfluencers.
BusinessProcess
Architecture
Themodellingoftheprocesses,includinginterfacepoints,
asameansofprovidingaholisticviewoftheprocesses
thatexistwithinanorganization.
CapabilityMap
Ahierarchicalcatalogueofbusinesscapabilities,orwhat
thebusinessdoes.Capabilitiesarecategorizedaccording
tostrategic,core,andsupporting.
CustomerJourney
Map
Amodelthatdepictsthejourneyofacustomerthrough
varioustouchpointsandthevariousstakeholderswithin
theserviceororganization.Customerjourneymapsare
frequentlyusedtoanalyzeordesigntheuserexperience
frommultipleperspectives.
EnterpriseCore
Diagram
Modelstheintegrationandstandardizationsofthe
organization.
InformationMap
Acatalogueoftheimportantbusinessconcepts
(fundamentalbusinessentities)associatedwiththe
businesscapabilitiesandvaluedelivery.Thisistypically
developedinconjunctionwiththecapabilitymodeland
representsthecommonbusinessvocabularyforthe
enterprise.Itisnotadatamodelbutratherataxonomyof
thebusiness.
Organizational
Map
Amodelthatshowstherelationshipofbusinessunitsto
eachother,toexternalpartners,andtocapabilitiesand
information.Unlikeatypicalorganizationalchartthemap
isfocusedontheinteractionbetweenunits,notthe
structuralhierarchy.
ProjectPortfolio
Analysis
Usedtomodelprograms,projects,andportfoliosto
provideaholisticviewoftheinitiativesoftheorganization.
Roadmap
Modelstheactions,dependencies,andresponsibilities
requiredfortheorganizationtomovefromcurrentstate,
throughthetransitionstates,tothefuturestate.
ServiceOriented
Analysis
Usedtomodelanalysis,design,andarchitectureof
systemsandsoftwaretoprovideaholisticviewoftheIT
infrastructureoftheorganization.
415
Technique
Perspectives
Table11.4.2:BusinessArchitectureTechniques(Continued)
11.4.4
Technique
Description
TheOpenGroup
Architecture
Framework
(TOGAF )
Providesamethodfordevelopingenterprisearchitecture.
PhaseBoftheTOGAFArchitectureDevelopmentMethod
(ADM)isfocusedonthedevelopmentofbusiness
architecture.OrganizationsfollowingTOGAFmaychoose
totailorPhaseBtoadoptthebusinessarchitecture
blueprints,techniques,andreferencesdescribedinthe
BABOKGuide.
ValueMapping
Valuemappingprovidesaholisticrepresentationofthe
streamofactivitiesrequiredtodelivervalue.Itisusedto
identifyareasofpotentialimprovementinanendtoend
process.Althoughthereareseveraldifferenttypesofvalue
mapping,avaluestreamisoftenusedinbusiness
architecture.
Zachman
Framework
Providesanontologyofenterpriseprimitiveconcepts
basedonamatrixofsixinterrogatives(what,how,where,
who,when,why)andsixlevelsofabstraction(executive,
businessmanagement,architect,engineer,technician,
enterprise).Businessarchitectsmayfindthatexploringthe
executiveorbusinessmanagementperspectivesacrossthe
differentinterrogativesprovidesclarityandinsight.
Inadditiontotheunderlyingcompetencies,businessanalystsworkinginthe
disciplineofbusinessarchitecturerequire:
ahightoleranceforambiguityanduncertainty,
theabilitytoputthingsintoabroadercontext,
theabilitytotransformrequirementsandcontextintoaconceptordesign
ofasolution.
theabilitytosuppressunnecessarydetailtoprovidehigherlevelviews,
theabilitytothinkinlongtimeframesovermultipleyears,
theabilitytodelivertacticaloutcomes(shortterm),whichsimultaneously
provideimmediatevalueandcontributetoachievingthebusinessstrategy
(longterm),
theabilitytointeractwithpeopleattheexecutivelevel,
theabilitytoconsidermultiplescenariosoroutcomes,
theabilitytoleadanddirectchangeinorganizations,and
agreatdealofpoliticalacumen.
416
Perspectives
11.4.5
architecturearemappedtobusinessanalysistasksandpracticesasdefinedbythe
BABOK Guide.Thissectiondescribeshoweachknowledgeareaisappliedor
modifiedwithinthebusinessarchitecturediscipline.
DuringBusinessAnalysisPlanningandMonitoring,thedisciplineofbusiness
architecturerequiresbusinessanalyststounderstandtheorganization's:
strategyanddirection,
operatingmodelandvalueproposition,
currentbusinessandoperationalcapabilities,
stakeholdersandtheirpointsofengagement,
plansforgrowth,governance,andplanningprocesses,
cultureandenvironment,and
capacityforchange.
Oncetheseelementsareunderstoodthebusinessanalystcanthendevelopan
understandingofwhicharchitecturalviewpointsarerelevanttotheanalysis.
Governanceplanningandmonitoringactivitiesprimarilyfocuson:
selectingwhichprojectsorinitiativeswillprovidethemostbenefitin
achievingthebusinessstrategiesandoutcomes,and
determiningwhichframeworksormodelsexistorareutilizedwithinthe
organization.
(p.217)
Interviews(p.290)
ItemTracking(p.294)
Estimation(p.271)
417
Eachknowledgearealiststechniquesrelevanttoabusinessarchitecture
perspective.BABOKGuidetechniquesarefoundintheTechniqueschapterof
theBABOKGuide.Otherbusinessanalysistechniquesarenotfoundinthe
TechniqueschapteroftheBABOK Guidebutareconsideredtobeparticularly
usefultobusinessanalystsworkinginthedisciplineofbusinessarchitecture.This
isnotintendedtobeanexhaustivelistoftechniquesbutrathertohighlightthe
typesoftechniquesusedbybusinessanalystswhileperformingthetaskswithin
theknowledgearea.
Perspectives
Analysis(p.302)
(p.344)
Reviews(p.326)
(p.329)
UserStories(p.359)
(p.333)
OtherBusinessAnalysisTechniques
BusinessProcessArchitecture
ProjectPortfolioAnalysis
CapabilityMap
ServiceorientedAnalysis
Businessanalystsworkinginthedisciplineofbusinessarchitecturetypicallydeal
withagreatdealofambiguityanduncertainty.WhenundertakingElicitationand
Collaborationtasks,businessanalystsconsiderchangesinorganizational
directionbasedonexternalandinternalforcesandchangesinmarketplace
environment.Thetypesofchangescanfrequentlybepredicted,butexternal
marketpressuresfrequentlymakethepaceofthechangeunpredictable.
Asbusinessarchitecturerequiresmanyinputsfromacrosstheorganization,
accessto(andtheavailabilityof)stakeholdersiscriticaltosuccess.Business
analystselicitinputssuchasstrategy,value,existingarchitectures,and
performancemetrics.
Advocacyfortheorganization'sstrategyiscentraltothecommunicationstrategy
ofbusinessarchitects.Asmembersofvarioussteeringcommitteesandadvisory
groups,businessarchitectsutilizeformalcommunicationchannelswithin
projects,initiatives,andoperationalgroupstocommunicatetheorganization's
strategy,explaintheorganizationalcontext,andadvocatealignmentwiththe
strategy.
Ensuringstakeholdersunderstandandsupporttheorganization'sstrategyisan
essentialfunctionwithinthedisciplineofbusinessarchitecture.Business
architectsmayimposescopeandconstraintsonaprojectorinitiativeasameans
toensuretheactivityalignstotheorganization'sstrategy,whichmaybeviewed
unfavourably.Itistheroleofthebusinessarchitecttobridgetheneedsand
desiresofindividualstakeholders,projects,andoperationalgroupswiththe
contextandunderstandingoftheorganizationalgoalsandstrategy.Thebusiness
architect'sgoalistooptimizetheenterprise'sgoalsandstrategy,anddiscourage
activitiesthatachieveanarrowgoalatthecostofsuboptimizingtheentire
objective.Thisisanexerciseinbothelicitationandincollaboration.
Thebusinessarchitectacquiresadeepunderstandingofthestrategy,drivers,
motivations,andaspirationsoftheorganizationandthoseofthestakeholders.
Oncethislevelofunderstandingisachieved,thebusinessarchitectcollaborates
418
Perspectives
withalllevelsoftheorganizationincludingseniorleadership,managers,the
projectmanagementoffice(PMO),productowners,projectmanagers,various
businessanalysts,solutionarchitects,andITpersonneltobridgegapsin
understandingandcommunicatingtheimportanceofalignmentwith
organizationalstrategy.Facilitatingeffectivecollaborationrequiresthatthe
businessarchitectisabletounderstandthewidevarietyofperspectivesand
contextsfromwhicheachstakeholderoperates.Thebusinessarchitectmustalso
beabletocommunicatewitheachofthesestakeholdersinalanguagethatis
mutuallyunderstoodandsupported.
ItemTracking(p.294)
Observation(p.305)
FocusGroups(p.279)
Prototyping(p.323)
Glossary(p.286)
(p.344)
Interviews(p.290)
Workshops(p.363)
none
Itisessentialthatbusinessanalystsworkinginthedisciplineofbusiness
architecturehaveexecutivesupportandagreementoftheworktobe
undertaken.Anarchitecturereviewboardcomprisedofseniorexecutiveswith
decisionmakingpowerscanreviewandassesschangestothebusiness
architecture.Thisgroupwilloftenalsoengageinportfoliomanagementby
makingdecisionsregardingtheinvestmentinandprioritizationofchangebased
ontheirimpacttobusinessoutcomesandstrategy.
Businessanalystsworkinginthedisciplineofbusinessarchitectureunderstand
howprojectsimpactthebusinessarchitectureonanongoingbasisandworkto
continuallyexpand,correct,orimprovethebusinessarchitecture.Theyalso
identifypossibleemergingchangesinbothinternalandexternalsituations
(includingmarketconditions),anddecideonhowtoincorporatethesechanges
intothebusinessarchitectureoftheorganization.
(p.226)
419
Estimation(p.271)
Perspectives
Reviews(p.326)
ItemTracking(p.294)
LessonsLearned(p.296)
(p.329)
(p.333)
(p.344)
SWOTAnalysis(p.353)
Archimate
Roadmap
BusinessValueModelling
CapabilityMap
ValueMapping
EnterpriseCoreDiagram
.4 StrategyAnalysis
Businessarchitecturecanplayasignificantroleinstrategyanalysis.Itprovides
architecturalviewsintothecurrentstateoftheorganizationandhelpstodefine
boththefuturestateandthetransitionstatesrequiredtoachievethefuturestate.
Businessarchitectsdeveloproadmapsbasedontheorganization'schange
strategy.Clearlydefinedtransitionstateshelpensurethattheorganization
continuestodelivervalueandremaincompetitivethroughoutallthephasesof
thechange.Tokeepcompetitive,thebusinessmustanalyzesuchfactorsas:
marketconditions,
whichmarketstomoveinto,
howtheorganizationwillcompeteinthetransitionstate,and
howtobestpositiontheorganization'sbrandproposition.
Businessarchitectureprovidestheenterprisecontextandarchitecturalviewsthat
allowanunderstandingoftheenterprisesothesequestionscanbeanalyzedin
thecontextofcost,opportunity,andeffort.
(p.226)
Estimation(p.271)
BusinessModelCanvas(p.236)
FocusGroups(p.279)
420
Perspectives
Glossary(p.286)
(p.344)
SWOTAnalysis(p.353)
Reviews(p.326)
Workshops(p.363)
(p.329)
Roadmap
CapabilityMap
CustomerJourneyMap
StrategyMap
ValueMapping
Businessarchitectureprovidesindividualarchitecturalviewsintotheorganization
throughavarietyofmodelsthatareselectedforthestakeholdersutilizingthe
view.Thesearchitecturalviewscanbeprovidedbycapabilityandvaluemaps,
organizationalmaps,andinformationandbusinessprocessmodels.Business
analystsworkinginthedisciplineofbusinessarchitectureemployexpertise,
judgment,andexperiencewhendecidingwhatis(andwhatisnot)importantto
model.Modelsareintendedtoprovidecontextandinformationthatresultin
betterrequirementsanalysisanddesign.
Thearchitecturalcontextandtheabilitytoreferencereadilyavailablearchitectural
viewsprovidesinformationthatwouldhaveotherwisebeenbasedon
assumptionsthattheanalystmustmakebecausenootherinformationwas
available.Byprovidingthisinformation,businessarchitectureminimizestherisk
ofduplicationofeffortsincreatingcapabilities,systems,orinformationthat
alreadyexistelsewhereintheenterprise.
Designisdoneinconjunctionwithunderstandingneedsandrequirements.
Businessarchitectureprovidesthecontexttoanalyzethestrategicalignmentof
proposedchangesandtheeffectsthosechangeshaveuponeachother.Business
architectssynthesizeknowledgeandinsightsfrommultiplearchitecturalviewsto
determineifproposedchangesworktowardsorconflictwiththeorganization's
goals.
Businessarchitectureattemptstoensurethattheenterpriseasawholecontinues
todelivervaluetostakeholdersbothduringnormaloperationsandduring
change.Businessanalystsworkinginthedisciplineofbusinessarchitecturefocus
onthevalueprovidedbytheorganizationfromaholisticview.Theyattemptto
avoidlocaloptimizationwhereeffortandresourcesareputintoasingleprocess
orsystemimprovementwhichdoesnotalignwiththestrategyandgarnersno
meaningfulimpacttotheenterpriseasawholeorworse,suboptimizesthe
whole.
421
Archimate
Perspectives
(p.217)
Analysis(p.302)
Observation(p.305)
(p.226)
Prototyping(p.323)
Reviews(p.326)
BusinessModelCanvas(p.236)
(p.329)
(p.333)
(p.344)
Estimation(p.271)
FocusGroups(p.279)
SWOTAnalysis(p.353)
Glossary(p.286)
UserStories(p.359)
ItemTracking(p.294)
Workshops(p.363)
Archimate
Roadmap
CapabilityMap
CustomerJourneyMap
ValueMapping
Businessarchitectureasksfundamentalquestionsaboutthebusiness,including
422
Perspectives
theimportantquestionofhowwellthebusinessisperforming.
Toanswerthisquestion,severalotherquestionsmustbeanswered:
Whatoutcomesarethebusiness,aparticularinitiative,orcomponent
expectingtoachieve?
HowcanthoseoutcomesbemeasuredintermsofSMART(Specific,
Measurable,Achievable,Relevant,Timebounded)objectives?
Whatinformationisneededtomeasurethoseobjectives?
Howdoprocesses,services,initiatives,etc.needtobeinstrumentedto
collectthatinformation?
Howistheperformanceinformationbestpresentedintermsofreports,ad
hocqueries,dashboards,etc.?
Forexample,atamoredetailedlevel,animportantpartofcapabilitydefinition
andprocessarchitectureistoidentifythespecificperformancecharacteristicsand
outcomethatthosecapabilitiesorprocessesareexpectedtoachieve.Theactual
measurementisrarelyconductedbybusinessanalysts.Itisusuallydoneby
businessowners,operational,orinformationtechnologymanagers.
Businessanalystsworkinginthedisciplineofbusinessarchitectureanalyzethe
resultsofmeasurementsandfactortheseresultsintosubsequentplanning.
(p.226)
(p.329)
FocusGroups(p.279)
(p.333)
ItemTracking(p.294)
(p.344)
Observation(p.305)
SWOTAnalysis(p.353)
BusinessMotivationModelling
CustomerJourneyMap
CapabilityMap
ValueMapping
423
Howdoweusethisinformationtomakeinvestmentdecisionsinthe
future?
TheBusinessProcessManagementPerspective
11.5
Perspectives
TheBusinessProcessManagementPerspectivehighlightstheunique
characteristicsofbusinessanalysiswhenpracticedinthecontextofdevelopingor
improvingbusinessprocesses.
BusinessProcessManagement(BPM)isamanagementdisciplineandasetof
enablingtechnologiesthat:
focusesonhowtheorganizationperformsworktodelivervalueacross
multiplefunctionalareastocustomersandstakeholders,
aimsforaviewofvaluedeliverythatspanstheentireorganization,and
viewstheorganizationthroughaprocesscentriclens.
ABPMinitiativedeliversvaluebyimplementingimprovementstothewayworkis
performedinanorganization.
BPMdetermineshowmanualandautomatedprocessesarecreated,modified,
cancelled,andgoverned.Organizationsthatholdaprocesscentricviewtreat
BPMasanongoingeffortandanintegralpartoftheongoingmanagementand
operationoftheorganization.
11.5.1
ChangeScope
BusinessanalystsworkingwithintheBPMdisciplinemayaddressasingleprocess
withlimitedscopeortheymayaddressalloftheprocessesintheorganization.
Businessanalystsfrequentlyfocusonhowtheprocessesofanorganizationcan
bechangedinordertoimproveandmeettheobjectivesoftheorganization.
BPMlifecyclesgenerallyincludethefollowingactivities:
Designing:theidentificationofprocessesanddefinitionoftheircurrent
state(asis)anddetermininghowwegettothefuturestate(tobe).The
gapbetweenthesestatesmaybeusedtospecifystakeholdersexpectations
ofhowthebusinessshouldberun.
Modelling:thegraphicalrepresentationoftheprocessthatdocumentsthe
processaswellascomparingcurrentstate(asis)andfuturestate(tobe).
ThisphaseoftheBPMlifecycleprovidesinputtorequirementsandsolution
designspecification,aswellasanalyzingtheirpotentialvalue.Simulation
mayusequantitativedatasothatthepotentialvalueofvariationsonthe
processcanbeanalyzedandcompared.
ExecutionandMonitoring:providesthesametypeofinputasmodelling
butintermsoftheactualexecutionofprocesses.Thedatacollectedasa
resultoftheactualbusinessprocessflowisveryreliableandobjectivewhich
makesitaverystrongassetinanalyzingvalueandrecommending
alternativesfordesignimprovement.
Optimizing:theactofongoingrepetitionoriterationoftheprevious
phases.Theresultsofbusinessprocessexecutionandmonitoringare
utilizedtomodifymodelsanddesignssothatallinefficienciesareremoved
424
Perspectives
andmorevalueisadded.Optimizationmaybeasourceofrequirements
andsolutiondesigndefinitionsthatcomesdirectlyfromstakeholdersand
theusercommunity.Optimizationofprocessesisalsoagoodwayto
demonstratethevalueofasuggestedsolutionmodification,andjustify
processandproductimprovementinitiatives.
.1 BreadthofChange
ThegoalofBPMistoensurethatvaluedeliveryisoptimizedacrossendtoend
processes.AcomprehensiveBPMinitiativecanspantheentireenterprise.Asingle
BPMinitiativecanmakeanorganizationbecomemoreprocesscentricby
providinginsightsintoitsprocesses.Anorganization'sprocessesdefinewhatthe
organizationdoesandhowitdoesit.Possessingathoroughunderstandingofits
processesallowsstakeholderstoadjusttheseprocessestomeettheevolving
needsofboththeorganizationanditscustomers.
.2 DepthofChange
BusinessanalystsuseBPMframeworkstofacilitatetheanalysisanddeep
understandingoftheorganization'sprocesses.BPMframeworksaresetsor
descriptionsofprocessesforagenericorganization,specificindustry,professional
area,ortypeofvaluestream.BPMframeworksdefineparticularlevelsof
processesthroughouttheorganization'sprocessarchitecture.
Asanexample,businessanalystsperformsupplychainanalysisasameansof
evaluatingspecificprocessesinanorganization.Analysisofthesupplychainis
frequentlyconductedbydecomposinggrouplevelprocessesintoindividualsub
componentsandthendecomposingthesedowntoindividualsperforming
specifictasks.
Businessanalystsinvolvedwithbusinessprocessmanagementarefrequently
engagedincontinuousimprovementactivitiesastheyareoftentheonesmost
familiarwithBPM.
ThegoalofBPMistoimproveoperationalperformance(effectiveness,efficiency,
adaptability,andquality)andtoreducecostsandrisks.Businessanalysts
frequentlyconsidertransparencyintoprocessesandoperationsasacommoncore
valueofBPMinitiatives.Transparencyintoprocessesandoperationsprovides
decisionmakersaclearviewoftheoperationalconsequencesofpreviousprocess
relateddecisions.Businessanalysiseffortsfrequentlybeginwiththeidentification
ofthebusinessneedofthecustomers.NeedsaregenerallyreferredtoasBPM
drivers.BPMdriversinclude:
costreductioninitiatives,
increaseinquality,
425
Individualinitiativesmayimprovespecificprocessesandsubprocesses.Breaking
downlarger,morecomplexprocessesintosmallerchunks(subprocesses)allows
businessanalyststobetterunderstandwhateachprocessisdoingandhowto
optimizethem.
Perspectives
increaseinproductivity,
emergingcompetition,
riskmanagement,
complianceinitiatives,
nextgenerationprocessautomation,
coresystemimplementation,
innovationandgrowth,
postmergerandacquisitionrationalization,
standardizationinitiatives,
majortransformationprograms,
establishmentofaBPMCentreofExcellence,
increasedagility,and
speedorfasterprocesses.
.4 DeliveryApproach
ThedeliveryapproachforBPMinitiativesacrossorganizationsrangesfromaset
oftacticalmethodsfocusedonimprovingindividualprocessestoamanagement
disciplinethattouchesalltheprocessesinanorganization.Themainpurposeof
processtransformationistohelporganizationsidentify,prioritize,andoptimize
theirbusinessprocessestodelivervaluetostakeholders.
Organizationsconductperiodicassessmentsofkeyprocessesandengagein
ongoingcontinuousimprovementtoachieveandsustainprocessexcellence.The
successofBPMcanbemeasuredbyhowwelltheBPMinitiativealignstothe
objectivessetforBPMintheorganization.
ThereareseveralmechanismsthatcanbeusedtoimplementBPM:
Businessprocessreengineering:methodsthataimformajorprocess
redesignacrosstheenterprise.
Evolutionaryformsofchange:methodsthathaveoverallobjectivesset
fortheprocessandthenindividualchangesaimedatbringingsub
processesinlinewiththosegoalsareimplemented.
Substantialdiscovery:methodsareusedwhenorganizationalprocesses
areundefinedorifthedocumentedversionoftheprocessissubstantially
differentfromtheactualprocessinuse.Substantialdiscoveryisabout
revealingactualprocessesandisamethodfororganizationalanalysis.
Processbenchmarking:comparesanorganization'sbusinessprocesses
andperformancemetricstoindustrybestpractices.Dimensionstypically
measuredarequality,time,andcost.
SpecializedBPMSapplications:aredesignedtosupportBPMinitiatives
andexecutetheprocessmodelsdirectly.Theseapplicationsaretoolsthat
426
Perspectives
automateBPMactivities.Oftentheorganization'sprocessesarerequiredto
bechangedtomatchtheautomatedapproach.
Processimprovementapproachescanbecategorizedintermsoftheirpointof
originandwhethertheirsolutionsareprimarilyorganizational(peoplebased)or
technological(ITbased).Organizationscanbetterunderstandtheprocess
improvementmethodology,asmentionedinthepreviousparagraph,toapply
basedonthefollowingorganizingprinciples:
Topdown:initiativesaretypicallyorchestratedfromacentralpointof
controlbyseniormanagementandhaveorganizationspanning
implications,targetedatendtoendprocessesormajorpartsofthe
business.
Peoplecentric:initiativeswheretheprincipalchangeistotheactivities
andworkflowsinanorganization.
ITcentric:initiativesfrequentlyfocusedonprocessautomation.
.5 MajorAssumptions
ThefollowingisalistofmajorassumptionsfromtheBPMdiscipline:
Processesaregenerallysupportedbyinformationtechnologysystems,but
thedevelopmentofthosesystemsisnotcoveredbymostBPMmethods.
Businessanalystsmaysuggestadditionalbusinessrequirementsbasedon
existingITsystems.
BPMinitiativeshaveseniormanagementsupport.Thebusinessanalystmay
beinvolvedinsuggestingadditionalbusinessrequirementsbasedon
organizationalstrategies.
BPMsystemsrequireatightintegrationwithorganizationalstrategybut
mostmethodsdonottacklethedevelopmentofstrategywhichisoutside
thescopeofthisperspective.
BPMinitiativesarecrossfunctionalandendtoendintheorganization.
11.5.2
.1 ChangeSponsor
EnterprisewideBPMinitiativesaretypicallystartedbyexecutivesfocusingon
valueandoutcomesandthenlinkingthesestrategicobjectivestothe
correspondingbusinessprocesseswhichmostcloselysupporttheobjectives.
BPMinitiativesarefrequentlytriggeredbyanexternalsituationwhichgeneratesa
businessneed.Enterprisebusinessanalysispracticesareappliedtodevelopa
businesscaseforaBPMinitiative.
427
Bottomup:initiativesaretypicallytacticalapproachestoimproving
individualprocessesanddepartmentalworkflows,orsubprocessesin
smallerpartsoftheorganization.
Perspectives
Processimprovementsaretypicallyinitiatedoratleastmanagedbyaprocess
manageratanyleveloftheorganization.Thescopeoftheprocessorsubprocess
usuallydeterminestheauthorityoftheprocessmanager.
.2 ChangeTargets
ThepossibleprimarychangetargetsforaBPMinitiativeinclude:
Customer:thekeystakeholderinanyBPMinitiative.Theprincipalfocusis
ontheexternalcustomerbutinternalcustomersarealsoconsidered.Since
BPMiscustomercentricbynature,thecustomerispartofBPMinitiativesin
ordertovalidatetheeffectivenessoftheprocesschange.Involvingthe
customerearlyintheinitiativeminimizestheriskoffailurebyensuringthe
goalsofprocessdeliveryarealignedtothecustomersexpectations.
Regulator:astakeholderinanyBPMinitiativeduetoevolving
requirementstowardscomplianceandriskmanagementbysome
organizations.RegulatorsmaytriggeraBPMinitiativeduetochangesin
regulationsonsuchconcernsaspublicsafety,transparency,equal
opportunity,andnondiscrimination.
ProcessOwner:thekeystakeholderinanyBPMinitiativeandhasthe
responsibilityandauthoritytomakethefinaldecisionregardingany
changestotheaffectedprocesses.Theprocessownerisalsoresponsiblefor
measuringtheprocessperformance.
ProcessParticipants:stakeholderswhodirectlyorindirectlyparticipatein
theprocessbeingevaluated.Theseparticipantsdefinetheactivitiesofthe
process.Inordertoensurethattheinterestsofprocessparticipantsaremet,
theprocessownerengagesthemduringdesignoftheprocess.
ProjectManager:managestheBPMinitiativeandisaccountableforits
deliveryanddrivingdecisions.Theprojectmanagerworkswithateam
includingprocessanalysts,processowners,andprocessdesigners.The
projectmanagerisresponsibleforplanning,scheduling,communication
management,changemanagement,andriskmanagement.
ImplementationTeam:convertstheplansoftheBPMinitiativeinto
functioningbusinessprocesses.ThesuccessofaBPMinitiativeistheability
tointegrateallthefunctionsthatmeettheneedsofthecustomer.
.3 BusinessAnalysisPosition
Businessanalystsworkingwithinthedisciplineofbusinessprocessmanagement
mayassumeavarietyofroles:
ProcessArchitect:responsibleformodelling,analyzing,deploying,
monitoring,andcontinuouslyimprovingbusinessprocesses.Aprocess
architectknowshowtodesignbusinessprocessesandhowtoenhance
thoseprocesseseithermanuallyorforautomatedbusinessprocess
executiononaBPMplatform.Processarchitectsaddressandguidethe
decisionsaroundwhatprocessknowledge,methodology,andtechnologyis
requiredtomeettheobjectivesoftheorganizationwithrespecttoa
428
Perspectives
particularBPMinitiative.Processarchitectsenhanceandtransformbusiness
processesintotechnicallyenhancedandexecutableprocesstemplates.
DependingontheBPMinitiative,processarchitectsmaybefocusedon
managingbusinessperformanceoronmappingtechnologytobusiness
operations.Processarchitectsareresponsiblefordevelopingand
maintainingstandardsandtherepositoryofreferencemodelsforproducts
andservices,businessprocesses,keyperformanceindicators(KPIs),and
criticalsuccessfactors(CSF).Theyareengagedinprocessanalysisand
transformationinitiatives.
ProcessModeller:capturesanddocumentsbusiness(boththeasisand
tobe)processes.Theprocessmodellerisfrequentlyaprocessanalyst
workingtodocumentaprocessforimplementationorsupportbyan
informationtechnologysystem.
Theprocessanalyst/designerandtheprocessmodellerfunctionsfrequentlyreside
withinasingleposition.
Figure11.5.1:BusinessAnalystRolesinaBPMInitiative
ProcessChangeInitiative
Ongoing
BusinessAnalyst
Project
Manager
ProcessProject
Manager
Process
Owner
Functional
Manager
KeyStakeholder
ProcessManager
ProcessArchitect
Process
Analyst
&Designer
Process
Modeller
Implementation
429
Staff
Process
Participants
ProcessAnalyst/Designer:hasdetailedprocessknowledge,skills,and
interest.Theyareexpertsindocumentingandunderstandingprocess
designalongwithperformancetrends.Processanalysts/designershavean
interestinbusinessprocessoptimizationtoincreaseoverallbusiness
performance.Thisgoalrequiresanunderstandingofthedetailedprocess
andincludesperformingthenecessaryanalysisforprocessoptimization.
Theyperformanalysisandassessmentofasisprocesses,evaluatealternate
processdesignoptions,andmakerecommendationsforchangebasedon
variousframeworks.
Perspectives
Outcomesforbusinessanalystsworkingwithinthedisciplineofbusinessprocess
managementinclude:
businessprocessmodels,
businessrules,
processperformancemeasures,
businessdecisions,and
processperformanceassessment.
BusinessProcessModels
Businessprocessmodelsstartatthehighestlevelasanendtoendmodelofthe
wholeprocessandcanbecomeasspecificasmodellingspecificworkflow.
Businessprocessmodelsserveasbothanoutputandastartingpointforthe
analysisoftheprocess.Theyaredividedintocurrentstate(asis)andfuturestate
(tobe)models.Currentstatemodelsportraytheprocessasitcurrentlyfunctions,
withoutanyimprovements.Thefuturestatemodelenvisionswhattheprocess
wouldlooklikeifallimprovementoptionsareincorporated.Thebenefitof
developingthecurrentstatemodelistojustifytheinvestmentintheprocessby
enablingthebusinessanalysttomeasuretheeffectoftheprocessimprovements
andprioritizechangestotheprocess.Transitionmodelsdescribetheinterim
statesrequiredtomovefromthecurrentstateprocesstothefuturestateprocess.
BusinessRules
Businessrulesguidebusinessprocessesandareintendedtoassertbusiness
structureorcontrolthebehaviourofbusiness.Businessrulesareidentifiedduring
requirementselicitationandprocessanalysisandoftenfocusonbusiness
calculations,accesscontrolissues,andpoliciesofanorganization.Classifying
businessrulescanhelpdecidehowtheywillbebestimplemented.Businessrules
analysisprovidesinsightintohowthebusinessfunctionsandhowtheprocesses
contributetomeetingthebusiness'goalsandobjectives.Businessanalysts
analyzethereasonsfortheexistenceofabusinessruleandstudyitsimpacton
thebusinessprocessbeforeimprovingorredesigningit.Businessrulesmay,
whereappropriate,bemappedtoindividualprocessesthroughthedecisionsthey
influenceunlesstheyarerelatedstrictlytotheperformanceoftheprocess.
ProcessPerformanceMeasures
Processperformancemeasuresareparametersthatareusedtoidentifyprocess
improvementopportunities.Processperformancemeasuresaredefinedand
deployedtoensurethatprocessesarealignedtothebusinessneedsandstrategic
objectivesoftheorganization.Processperformancemeasurescanaddressmany
aspectsofaprocessincludingquality,time,cost,agility,efficiency,effectiveness,
responsiveness,adaptability,flexibility,customersatisfaction,velocity,variability,
visibility,variety,rework,andvolume.Manyoftheprocessperformancemeasures
seektomeasuretheeffectivenessandefficiencyoftheprocessaswellasthe
degreetowhichtheprocessgoalsareachieved.Whendeployedacrossthe
430
Perspectives
business,processperformancemeasurescanindicatethematuritylevelofprocess
cultureinanorganizationandgenerateasharedunderstandingofprocess
performanceacrossanorganization.Performancemeasuresarekeystodefining
servicelevelagreementswhereanorganizationprovidesservicetotheircustomers.
BusinessDecisions
Businessdecisionsareaspecifickindoftaskoractivityinabusinessprocessthat
determinewhichofasetofoptionswillbeacteduponbytheprocess.Decisions
mustbemade(usingataskoractivity)andthenactedupon(oftenwitha
gatewayorbranchintheprocess).Decisionsmaybemanualorautomated,are
modelledindependently,andarebestdescribedusingbusinessrules.Decision
rules,oftenimplementedthroughabusinessrulesengine,allowthesebusiness
decisionstobeautomated.
ThesuccessofanyBPMinitiativerestsontheintentionandcapabilityto
continuouslymeasureandmonitortheperformanceoftargetedbusiness
processes.Theassessmentcanbestaticandbedocumentedwithassessment
reportsandscorecards,ordynamicandbedeliveredthroughdashboards.It
providesnecessaryinformationtodecisionmakersinanorganizationtoredeploy
andadjustresourcesinordertomeetprocessperformancegoals.
11.5.3
Frameworks,Methodologies,andTechniques
.1 Frameworks
Thefollowingtablelistsframeworksthatarecommonlyusedwithinthediscipline
ofbusinessprocessmanagement.
BPMFrameworks
Framework
Briefdescription
ACCORD
Amethodologicalframeworkthatmapscurrent
statemodels,aswellasunstructureddata,to
conceptualmodels.
Enhanced
Telecommunications
OperationsMap(eTOM)
Ahierarchicalframeworkdevelopedforthe
telecommunicationsindustrythathasbeen
adoptedbyotherserviceorientedindustries.
GovernmentsStrategic
ReferenceModel(GSRM)
Alifecycleframeworkthatprovidesgeneric
governmentprocessesandpatternsforeachstage
oforganizationalmaturity.
Modelbasedand
IntegratedProcess
Improvement(MIPI)
Acyclicalframeworkwhosestepsincludeassess
readiness,outlineprocessunderreview,detaildata
collection,formmodelofcurrentprocess,assess
andredesignprocess,implementimproved
process,andreviewprocess.
431
ProcessPerformanceAssessment
Perspectives
BPMFrameworks(Continued)
Framework
Briefdescription
ProcessClassification
Framework(PCF)
Aclassificationframeworkthatdetailsprocesses
andisusedforbenchmarkingandperformance
measurement.
.2 Methodologies
Thefollowingtablelistsmethodologiesthatarecommonlyusedwithinthe
disciplineofbusinessprocessmanagement.
Table11.5.1:BPMMethodologies
Methodology
Briefdescription
AdaptiveCase
Management(ACM)
Amethodusedwhenprocessesarenotfixedor
staticinnature,andhavealotofhuman
interaction.AnACMprocessmaybedifferenteach
timeitisperformed.
BusinessProcessRe
engineering(BPR)
Thefundamentalrethinkingandredesigningof
businessprocessestogenerateimprovementsin
criticalperformancemeasures,suchascost,quality,
service,andspeed.
ContinuousImprovement
(CI)
Theongoingmonitoringandadjustmentofexisting
processestobringthemclosertogoalsor
performancetargets.Thisrepresentsapermanent
commitmentoftheorganizationtochangeand
mustbeanimportantpartofitsculture.
Lean
Acontinuousimprovementmethodologythat
focusesontheeliminationofwasteinaprocess,
definedasworkforwhichthecustomerofthe
processwillnotpay.
SixSigma
Acontinuousimprovementmethodologythat
focusesontheeliminationofvariationsinthe
outcomeofaprocess.Itisstatisticallyorientedand
performancedatacentric.
TheoryOfConstraints
(TOC)
Amethodologythatholdstheperformanceofan
organizationcanbeoptimizedbymanagingthree
variables:thethroughputofaprocess,operational
expensetoproducethatthroughput,andthe
inventoryofproducts.Theperformanceofa
processisdominatedbyonekeyconstraintatany
giventime,andtheprocesscanonlybeoptimized
byimprovingtheperformanceofthatconstraint.
432
Perspectives
Table11.5.1:BPMMethodologies(Continued)
Methodology
Briefdescription
TotalQuality
Management(TQM)
Amanagementphilosophythatholdstothe
underlyingprinciplethattheprocessesofthe
organizationshouldprovidethecustomerand
stakeholders,bothinternalandexternal,withthe
highestqualityproductsandservices,andthat
theseproductsorservicesmeetorexceedthe
customers'andstakeholders'expectations.
.3 Techniques
Thefollowingtableliststechniques,notincludedintheTechniqueschapterofthe
BABOK GuideandarecommonlyusedwithinthedisciplineofBPM.
Technique
BriefDescription
CostAnalysis
Alistofthecostperactivitytotaledtoshowthedetailed
costoftheprocessandisusedfrequentlybybusinesses
togainanunderstandingandappreciationofthecost
associatedwithaproductorservice.Costanalysisisalso
knownasactivitybasedcosting.
CriticaltoQuality
(CTQ)
Asetofdiagrams,intheformoftrees,thatassistin
aligningprocessimprovementeffortstocustomer
requirements.CTQisatechniqueusedinSixSigma,but
isnotexclusivetoSixSigma.
CycletimeAnalysis
Ananalysisofthetimeeachactivitytakeswithinthe
process.Cycletimeanalysisisalsoknownasaduration
analysis.
DefineMeasure
AnalyzeDesign
Verify(DMADV)
Adatadrivenstructuredroadmapusedtodevelopnew
orimproveexistingprocesses.DMADVisatechnique
usedinSixSigma,butisnotexclusivetoSixSigma.
DefineMeasure
AnalyzeImprove
Control(DMAIC)
Adatadrivenstructuredroadmapusedtoimprove
processes.DMAICisatechniqueusedinSixSigma,butis
notexclusivetoSixSigma.
DrumBufferRope
(DBR)
Amethodusedtoensurethatthesystemconstraint
alwaysfunctionsatthemaximumpossibleoutput,by
ensuringthatthereisasufficientbufferofmaterialsjust
priortotheconstrainttokeepitcontinuouslybusy.Itcan
beusedinBPMtoensureprocessefficiency.
FailureModeand
EffectAnalysis
(FMEA)
Asystematicmethodofinvestigatingprocessfailures
anddefects,andidentifyingpotentialcauses.FMEAisa
techniquethatassistsinlocatingproblemsintheasis
processandcorrectingthemwhendevelopingthetobe
processes.
433
Table11.5.2:BPMTechniques
Perspectives
Table11.5.2:BPMTechniques(Continued)
Technique
BriefDescription
HouseofQuality/
VoiceofCustomer
Amatrixrelatingcustomerdesiresandproduct
characteristicstothecapabilitiesofanorganization.Itis
atechniquethatcouldbeusedindevelopingthetobe
processes.
Inputs,Guide,
Outputs,Enablers
(IGOE)
Adiagramthatdescribesthecontextofaprocess,by
listingtheinputsandoutputsoftheprocess,theguides
thatareusedtoinformtheexecutionoftheprocess,and
thesupportingtoolsandinformationrequiredforthe
process.
KaizenEvent
Afocused,rapidefforttoimprovevaluedeliveryinone
specificactivityorsubprocess.
ProcessSimulation
Amodeloftheprocessandasetofrandomizedvariables
toallowformultiplevariationsofaprocesstobe
assessedanddevelopanestimateoftheirperformance
underactualconditions.
SuppliersInputs
ProcessOutputs
Customers(SIPOC)
Atablethatsummarizesinputsandoutputsfrom
multipleprocesses.AlsoknownasCOPIS,whichissimply
SIPOCspelledbackwards.
Theoryof
Constraints(TOC)
ThinkingProcesses
Asetoflogicalcauseandeffectmodelsusedto
diagnoseconflicts,identifytherootcausesofproblems,
anddefinefuturestatesofasystemthatsuccessfully
resolvethoserootcauses.TOCthinkingprocessesisa
techniquethatassistsinlocatingproblemsintheasis
processandcorrectingthemwhendevelopingthetobe
processes.
ValueAdded
Analysis
Looksatthebenefittothecustomeraddedateachstep
ofaprocesstoidentifyopportunitiesforimprovement.
ValueStream
Analysis
Usedtoassessthevalueaddedbyeachfunctionalarea
ofabusinesstothecustomer,aspartofanendtoend
process.
WhoWhatWhen
WhereWhy(5Ws)
Asetofquestionsthatformthefoundationforbasic
informationgathering.The5WsmayalsoincludeHow
addedtobecomethe5WsandaH.
434
Perspectives
11.5.4
Businessanalystsworkingwithinthedisciplineofbusinessprocessmanagement
arerequiredtochallengethestatusquo,digtounderstandtherootcausesofa
problem,assesswhythingsarebeingdoneinaparticularway,andencourage
subjectmatterexperts(SMEs)toconsidernewideasandapproachestomake
theirprocessesmoreefficientandeffective.Theyarealsorequiredtounderstand,
articulate,andmovebackandforthbetweeninternalandexternalviewsofthe
processesunderanalysis.
BPMinitiativesarelikelytoinvolvealllevelsoftheorganizationandthebusiness
analystisrequiredtocommunicateacrossorganizationalboundariesaswellas
outsidetheorganization.
11.5.5
processmanagementaremappedtobusinessanalysistasksandpracticesas
definedbytheBABOK Guide.Thissectionalsodescribeshoweachknowledge
areaisappliedormodifiedwithinthebusinessprocessmanagementdiscipline.
Eachknowledgearealiststechniquesrelevanttoabusinessprocessmanagement
perspective.BABOKGuidetechniquesarefoundintheTechniqueschapterof
theBABOKGuide.Otherbusinessanalysistechniquesarenotfoundinthe
chapter,butareconsideredtobeparticularlyusefultobusinessanalystsworking
inthedisciplineofbusinessprocessmanagement.Thisisnotintendedtobean
exhaustivelistoftechniquesbutrathertohighlightthetypesoftechniquesused
bybusinessanalystswhileperformingthetaskswithintheknowledgearea.
ProgressiveelaborationiscommonintheplanningofBPMinitiativesduetothe
factthattheamountofinformationavailableforfullplanningmaybelimitedin
theinitialstages.BPMinitiativesinvolvecontinuousimprovementactivities,anda
commoncauseoffailureofBPMinitiativesisthefailuretoplanforongoing
monitoringoftheeffectofchangestotheprocess.InBPMinitiatives,theinitial
focusofbusinessanalysisworkisonanalyzingandimprovingthebusiness
processbeforelookingatthetechnologyusedtosupporttheprocess,andany
changesthatmightberequiredtosoftwareapplicationsorworkprocedures.
435
Duetotheeffectsthatchangestoprocesseshaveontheworkinghabitsof
individuals,interactionskillsarevaluableinaBPMinitiative.Businessanalysts
frequentlynegotiateandarbitratebetweenindividualswithdifferentopinions,
andexposeandresolveconflictsbetweendifferentgroupswithinthe
organization.Thebusinessanalystisaneutralandindependentfacilitatorofthe
change.
Perspectives
Estimation(p.271)
Reviews(p.326)
ItemTracking(p.294)
(p.344)
Workshops(p.363)
Inputs,Guide,Outputs,Enablers(IGOE)
FortheBPMinitiativetobesuccessful,thescopeoftheinitiativeandthescopeof
theaffectedprocessmustbedefinedandunderstood.
Processmodellingandstakeholderanalysisaregenerallyutilizedduringthe
elicitationphaseofaBPMinitiative.Duringelicitation,thebusinessanalyst
focusesoncauseandeffectofbothchangingexistingprocessesandkeepingthe
processesastheyarethroughtheelicitationandcollaborationeffort.Asan
existingprocessischanged,theeffectofanyprocessimprovementsidentifiedon
theorganization,people,andtechnologyareconsidered.Processmapsarean
importanttooltodriveelicitationinBPMinitiativesandstakeholdersare
frequentlyconsultedduringtheirdevelopment.Effectiveelicitationand
collaborationiscriticalinprocessmodellinganalysisanddesignwork.
Processchangescanhavesignificantimpactsacrosstheorganization,so
managingstakeholdersandtheirexpectationsisparticularlycritical.Without
effectivestakeholdermanagement,processchangesmaynotbesuccessfully
implementedorthechangesmaynotmeettheorganization'sgoalsand
objectives.
Reviews(p.326)
FocusGroups(p.279)
(p.344)
Interviews(p.290)
Observation(p.305)
UserStories(p.359)
Workshops(p.363)
Prototyping(p.323)
HouseofQuality/VoiceofCustomer
436
Perspectives
BPMisasetofapproachesthatfocusonwaystodelivervalueacrossmultiple
functionalareasthroughaprocesscentriclens.Deliveringadditionalvalueis
oftenrelatedtodeliberatelyundertakingchangebutcouldalsoresultfromanad
hocrequestorreviewofprocesses.TheimpactofBPMactivitiesonrequirements
lifecyclemanagementissignificantasitcandriveoutbusinessrequirements
resultinginnewdesign,coding,implementation,andpostimplementation
changes.Itistheresponsibilityofthebusinessanalysttomaintainthisconnection
andensurethatcommunicationiseffectivelyconductedwithstakeholdersand
processownerswhoaretheultimatedecisionmakerswhenitisaboutprocesses,
change,andsupportingsolutions.
(p.217)
Prototyping(p.323)
Analysis(p.302)
Workshops(p.363)
none
.4 StrategyAnalysis
InaBPMcontext,strategyanalysisinvolvesunderstandingtheroletheprocess
playsinanenterprisevaluechain.Ataminimum,anyprocessthatinteractswith
theprocessesaffectedbytheinitiativemustbeconsidered.
Thecurrentstateislikelytobedescribedbytheasisvaluechainandthecurrent
performancemeasuresforthebusinessprocess.Thefuturestatewillbedescribed
bythetobevaluechainandtargetperformancemeasures.Continuous
improvementmethodsmaysimplyfocusontheperformancemeasuresto
determinethestrategy.Thechangestrategywillinvolvetheidentificationof
possibleprocesschanges.
Interviews(p.290)
437
Thedocumentationofbusinessprocessesisavailabletoallstakeholdersasitisto
beusedinthedailyoperationofthebusiness.Iftheprocessisautomated
throughaBPMS,therepresentationoftheprocessmaybedirectlyexecutable.
Perspectives
DrumBufferRope
HouseofQuality/VoiceofCustomer
Inputs,Guide,Outputs,Enablers
(IGOE)
TOCThinkingProcesses
Requirementsanalysisanddesigndefinitionwillfocusondefiningthetobe
processmodel.Therequirementsarchitectureislikelytoincludetheprocess
model,associatedbusinessrulesanddecisions,informationrequirements,and
theorganizationalstructure.SolutionoptionstypicallyincludechangestoIT
neededtosupporttheprocess,outsourcingofaspectsoftheprocess,andsimilar
changes.
(p.226)
Estimation(p.271)
(p.344)
Workshops(p.363)
Prototyping(p.323)
KaizenEvent
ProcessSimulation
SolutionevaluationtypicallyoccursrepeatedlyduringBPMinitiativesinorderto
assesstheperformanceofthebusinessprocess.Asprocessesareevaluatedfor
differentscenarios,theycanberefinedandtheresultsaremonitored.Solution
evaluationtasksprovideinsightintotheunderstandingoftheimpactofprocess
improvementsandthevaluedeliveredbybusinessprocesschange.Thesolution
mayalsoinvolveprocessminingwhichusessuchtechniquesasaudittrailsor
transactionlogstoobtainprocessdetails.
Theanalyzesolutionperformancetaskisperformedtounderstandthe
differencesbetweenpotentialvalueandactualvalue.Thisanalysisisperformed
todiscoverwhythereisavariancebetweenpotentialandactualvalue,to
determineifasolutioncanperformbetterorrealizemorevalue.Theevaluation
examinesopportunitiesorconstraintsoftheimplementedsolution,howit
satisfiesneeds,orhowitcouldbeimproved.Thismaytriggerfurtheroptimization
oftheprocessandarepeatoftheBPMlifecycle.
438
Perspectives
(p.217)
Observation(p.305)
(p.226)
Reviews(p.326)
(p.344)
Estimation(p.271)
Interviews(p.290)
SWOTAnalysis(p.353)
KaizenEvent
FailureModeandEffectAnalysis(FMEA)
ProcessSimulation
ValueStreamAnalysis
439
(p.329)
Perspectives
440
Glossary
AppendixA:Glossary
a
acceptancecriteria:Criteriaassociatedwithrequirements,products,orthe
deliverycyclethatmustbemetinordertoachievestakeholderacceptance.
actor(businessanalysis):Ahuman,device,orsystemthatplayssomespecified
roleininteractingwithasolution.
adaptiveapproach:Anapproachwherethesolutionevolvesbasedonacycleof
learninganddiscovery,withfeedbackloopswhichencouragemaking
decisionsaslateaspossible.
allocation:Seerequirementsallocation.
architecture:Thedesign,structure,andbehaviourofthecurrentandfuturestates
ofastructureintermsofitscomponents,andtheinteractionbetween
thosecomponents.Seealsobusinessarchitecture,enterprisearchitecture,
andrequirementsarchitecture.
artifact(businessanalysis):Anysolutionrelevantobjectthatiscreatedaspartof
businessanalysisefforts.
assumption:Aninfluencingfactorthatisbelievedtobetruebuthasnotbeen
confirmedtobeaccurate,orthatcouldbetruenowbutmaynotbeinthe
future.
behaviouralbusinessrule:Abusinessrulethatplacesanobligation(or
prohibition)onconduct,action,practice,orprocedureabusinessrule
whosepurposeistoshape(govern)daytodaybusinessactivity.Also
knownasoperativerule.
benchmarking:Acomparisonofadecision,process,service,orsystem'scost,
time,quality,orothermetricstothoseofleadingpeerstoidentify
opportunitiesforimprovement.
bodyofknowledge:Theaggregatedknowledgeandgenerallyacceptedpractices
onatopic.
BPM:Seebusinessprocessmanagement.
brainstorming:Ateamactivitythatseekstoproduceabroadordiversesetof
optionsthroughtherapidanduncriticalgenerationofideas.
business(businessanalysis):Seeenterprise.
business(businessworld):Aneconomicsystemwhereanycommercial,industrial,
orprofessionalactivityisperformedforprofit.
441
AgileExtensiontotheBABOK Guide:Astandardonthepracticeofbusiness
analysisinanagilecontext.TheAgileExtensiontotheBABOK Guide
version1waspublishedin2013byIIBA ,inpartnershipwiththeAgile
Alliance.
Glossary
businessanalysis:Thepracticeofenablingchangeinthecontextofanenterprise
bydefiningneedsandrecommendingsolutionsthatdelivervalueto
stakeholders.
businessanalysisinformation:Anykindofinformationatanylevelofdetailthatis
usedasaninputtobusinessanalysiswork,orasanoutputofbusiness
analysiswork.
businessanalysispackage:Adocument,presentation,orothercollectionoftext,
matrices,diagramsandmodels,representingbusinessanalysisinformation.
businessanalyst:Anypersonwhoperformsbusinessanalysis,nomattertheirjob
titleororganizationalrole.Formoreinformation,seeWhoisaBusiness
Analyst?(p.2).
businessanalysisapproach:Thesetofprocesses,rules,guidelines,heuristics,and
activitiesthatareusedtoperformbusinessanalysisinaspecificcontext.
businessanalysiscommunicationplan:Adescriptionofthetypesof
communicationthebusinessanalystwillperformduringbusinessanalysis,
therecipientsofthosecommunications,andtheformandfrequencyof
thosecommunications.
businessanalysiseffort:Thescopeofactivitiesabusinessanalystisengagedin
duringthelifecycleofaninitiative.
businessanalysisplan:Adescriptionoftheplannedactivitiesthebusinessanalyst
willexecuteinordertoperformthebusinessanalysisworkinvolvedina
specificinitiative.Seealsorequirementsmanagementplan.
businessarchitecture:Thedesign,structure,andbehaviourofthecurrentand
futurestatesofanenterprisetoprovideacommonunderstandingofthe
organization.Itisusedtoaligntheenterprisesstrategicobjectivesand
tacticaldemands.
businesscase:Ajustificationforacourseofactionbasedonthebenefitstobe
realizedbyusingtheproposedsolution,ascomparedtothecost,effort,and
otherconsiderationstoacquireandlivewiththatsolution.
businessdecision:Adecisionthatcanbemadebasedonstrategy,executive
judgment,consensus,andbusinessrules,andthatisgenerallymadein
responsetoeventsoratdefinedpointsinabusinessprocess.
businessdomain:Seedomain.
businessgoal:Astateorconditionthatanorganizationisseekingtoestablish
andmaintain,usuallyexpressedqualitativelyratherthanquantitatively.
businessneed:Aproblemoropportunityofstrategicortacticalimportancetobe
addressed.
businessobjective:Anobjective,measurableresulttoindicatethatabusiness
goalhasbeenachieved.
businesspolicy:Anonpracticabledirectivethatcontrolsandinfluencesthe
actionsofanenterprise.
442
Glossary
businessproblem:Anissueofstrategicortacticalimportancepreventingan
enterpriseororganizationfromachievingitsgoals.
businessprocess:Anendtoendsetofactivitieswhichcollectivelyrespondstoan
event,andtransformsinformation,materials,andotherresourcesinto
outputsthatdelivervaluedirectlytothecustomersoftheprocess.Itmaybe
internaltoanorganization,oritmayspanseveralorganizations.
businessprocessmanagement(BPM):Amanagementdisciplinethatdetermines
howmanualandautomatedprocessesarecreated,modified,cancelled,
andgoverned.
businessprocessreengineering:Rethinkingandredesigningbusinessprocesses
togenerateimprovementsinperformancemeasures.
businessrule:Aspecific,practicable,testabledirectivethatisunderthecontrolof
thebusinessandthatservesasacriterionforguidingbehaviour,shaping
judgments,ormakingdecisions.
capability:Thesetofactivitiestheenterpriseperforms,theknowledgeithas,the
productsandservicesitprovides,thefunctionsitsupports,andthemethods
itusestomakedecisions.
causeandeffectdiagram:Seefishbonediagram.
change:Theactoftransformationinresponsetoaneed.
changeagent:Onewhoisacatalystforchange.
changecontrol:Controllingchangestorequirementsanddesignssothatthe
impactofrequestedchangesisunderstoodandagreedtobeforethe
changesaremade.
changemanagement:Plannedactivities,tools,andtechniquestoaddressthe
humansideofchangeduringachangeinitiative,primarilyaddressingthe
needsofthepeoplewhowillbemostaffectedbythechange.
changestrategy:Aplantomovefromthecurrentstatetothefuturestateto
achievethedesiredbusinessobjectives.
changeteam:Acrossfunctionalgroupofindividualswhoaremandatedto
implementachange.Thisgroupmaybecomprisedofproductowners,
businessanalysts,developers,projectmanagers,implementationsubject
matterexperts(SMEs),oranyotherindividualwiththerelevantsetofskills
andcompetenciesrequiredtoimplementthechange.
checklist(businessanalysis):Astandardsetofqualityelementsthatreviewersuse
forrequirementsverification.
collaboration:Theactoftwoormorepeopleworkingtogethertowardsa
commongoal.
443
businessrequirement:Arepresentationofgoals,objectivesandoutcomesthat
describewhyachangehasbeeninitiatedandhowsuccesswillbeassessed.
Glossary
commercialofftheshelf(COTS):Aprepackagedsolutionavailableinthe
marketplacewhichaddressallormostofthecommonneedsofalarge
groupofbuyersofthosesolutions.Acommercialofftheshelfsolutionmay
requiresomeconfigurationtomeetthespecificneedsoftheenterprise.
competitiveanalysis:Astructuredassessmentwhichcapturesthekey
characteristicsofanindustrytopredictthelongtermprofitabilityprospects
andtodeterminethepracticesofthemostsignificantcompetitors.
component:Auniquelyidentifiableelementofalargerwholethatfulfillsaclear
function.
conceptmodel:Ananalysismodelthatdevelopsthemeaningofcoreconcepts
foraproblemdomain,definestheircollectivestructure,andspecifiesthe
appropriatevocabularyneededtocommunicateaboutitconsistently.
constraint(businessanalysis):Aninfluencingfactorthatcannotbechanged,and
thatplacesalimitorrestrictiononapossiblesolutionorsolutionoption.
context:Thecircumstancesthatinfluence,areinfluencedby,andprovide
understandingofthechange.
coreconcept(businessanalysis):Oneofsixideasthatarefundamentaltothe
practiceofbusinessanalysis:Change,Need,Solution,Context,Stakeholder,
andValue.
costbenefitanalysis:Ananalysiswhichcomparesandquantifiesthefinancialand
nonfinancialcostsofmakingachangeorimplementingasolution
comparedtothebenefitsgained.
COTS:Seecommercialofftheshelf.
create,read,update,anddeletematrix(CRUDmatrix):Atwodimensionalmatrix
showingwhichuserroleshavepermissiontoaccessspecificinformation
entities,andtocreatenewrecordsinthoseentities,viewthedatainexisting
records,updateormodifythedatainexistingrecords,ordeleteexisting
records.Thesametypeofmatrixcanbeusedtoshowwhichprocesses,
insteadofusers,havethecreate,read,updateanddeleterights.
CRUDmatrix:Seecreate,read,update,anddeletematrix.
customer:Astakeholderwhousesormayuseproductsorservicesproducedby
theenterpriseandmayhavecontractualormoralrightsthattheenterprise
isobligedtomeet.
decisionanalysis:Anapproachtodecisionmakingthatexaminesandmodelsthe
possibleconsequencesofdifferentdecisions,andassistsinmakingan
optimaldecisionunderconditionsofuncertainty.
decomposition:Atechniquethatsubdividesaproblemintoitscomponentparts
inordertofacilitateanalysisandunderstandingofthosecomponents.
defect:Adeficiencyinaproductorservicethatreducesitsqualityorvariesfrom
adesiredattribute,state,orfunctionality.
444
Glossary
definitionalbusinessrule:Arulethatindicatessomethingisnecessarilytrue(or
untrue)arulethatisintendedasadefinitionalcriterionforconcepts,
knowledge,orinformation.Alsoknownasastructuralrule.
deliverable:Anyuniqueandverifiableworkproductorservicethatapartyhas
agreedtodeliver.
design:Ausablerepresentationofasolution.FormoreinformationseeKeyTerms
(p.14)andRequirementsandDesigns(p.19).
documentanalysis(businessanalysis):Anexaminationofthedocumentationof
anexistingsysteminordertoelicitrequirements.
domain:Thesphereofknowledgethatdefinesasetofcommonrequirements,
terminology,andfunctionalityforanyprogramorinitiativesolvinga
problem.
DSDM:Seedynamicsystemsdevelopmentmethod.
dynamicsystemsdevelopmentmethod(DSDM):Aprojectdeliveryframework
whichfocusesonfixingcost,quality,andtimeatthebeginningwhile
contingencyismanagedbyvaryingthefeaturestobedelivered.
elicitation:Iterativederivationandextractionofinformationfromstakeholdersor
othersources.
enduser:Astakeholderwhodirectlyinteractswiththesolution.
enterprise:Asystemofoneormoreorganizationsandthesolutionstheyuseto
pursueasharedsetofcommongoals.
enterprisearchitecture:Adescriptionofthebusinessprocesses,information
technology,people,operations,information,andprojectsofanenterprise
andtherelationshipsbetweenthem.
enterprisereadinessassessment:Anassessmentthatdescribestheenterpriseis
preparedtoacceptthechangeassociatedwithasolutionandisabletouse
iteffectively.
entityrelationshipdiagram:Agraphicalrepresentationoftheentitiesrelevantto
achosenproblemdomainandtherelationshipsbetweenthem.
estimate:Aquantitativeassessmentofaplannedoutcome,resource
requirements,andschedulewhereuncertaintiesandunknownsare
systematicallyfactoredintotheassessment.
evaluation:Thesystematicandobjectiveassessmentofasolutiontodetermineits
statusandefficacyinmeetingobjectivesovertime,andtoidentifywaysto
improvethesolutiontobettermeetobjectives.Seealsoindicatormetric,
monitoring.
445
domainsubjectmatterexpert:Astakeholderwithindepthknowledgeofatopic
relevanttothebusinessneedorsolutionscope.
Glossary
event(businessanalysis):Anoccurrenceorincidenttowhichanorganizational
unit,system,orprocessmustrespond.
evolutionaryprototype:Aprototypethatiscontinuouslymodifiedandupdatedin
responsetofeedbackfromstakeholders.
experiment:Elicitationperformedinacontrolledmannertomakeadiscovery,test
ahypothesis,ordemonstrateaknownfact.
externalinterface:Aninteractionthatisoutsidetheproposedsolution.Itcanbe
anotherhardwaresystem,softwaresystem,orahumaninteractionwith
whichtheproposedsolutionwillinteract.
facilitation:Theartofleadingandencouragingpeoplethroughsystematicefforts
towardagreeduponobjectivesinamannerthatenhancesinvolvement,
collaboration,productivity,andsynergy.
feasibilitystudy:Anevaluationofproposedalternativestodetermineiftheyare
technically,organizationally,andeconomicallypossiblewithinthe
constraintsoftheenterprise,andwhethertheywilldeliverthedesired
benefitstotheenterprise.
feature:Adistinguishingcharacteristicofasolutionthatimplementsacohesive
setofrequirementsandwhichdeliversvalueforasetofstakeholders.
fishbonediagram:Adiagrammingtechniqueusedinrootcauseanalysisto
identifyunderlyingcausesofanobservedproblem,andtherelationships
thatexistbetweenthosecauses.AlsoknownasanIshikawaorcauseand
effectdiagram.
focusgroup:Agroupformedtotoelicitideasandattitudesaboutaspecific
product,service,oropportunityinaninteractivegroupenvironment.The
participantssharetheirimpressions,preferences,andneeds,guidedbya
moderator.
forcefieldanalysis:Agraphicalmethodfordepictingtheforcesthatsupportand
opposeachange.Involvesidentifyingtheforces,depictingthemon
oppositesidesofaline(supportingandopposingforces)andthen
estimatingthestrengthofeachsetofforces.
functionalrequirement:Acapabilitythatasolutionmusthaveintermsofthe
behaviourandinformationthesolutionwillmanage.
gapanalysis:Acomparisonofthecurrentstateanddesiredfuturestateofan
enterpriseinordertoidentifydifferencesthatneedtobeaddressed.
goal:Seebusinessgoal.
governanceprocess(change):Aprocessbywhichappropriatedecisionmakers
userelevantinformationtomakedecisionsregardingachangeorsolution,
includingthemeansforobtainingapprovalsandpriorities.
446
Glossary
guideline(businessanalysis):Aninstructionordescriptiononwhyorhowto
undertakeatask.
h
i
horizontalprototype:Aprototypethatisusedtoexplorerequirementsand
designsatonelevelofaproposedsolution,suchasthecustomerfacing
viewortheinterfacetoanotherorganization.
impactanalysis:Anassessmentoftheeffectsaproposedchangewillhaveona
stakeholderorstakeholdergroup,project,orsystem.
indicator:Aspecificnumericalmeasurementthatindicatesprogresstoward
achievinganimpact,output,activity,orinput.Seealsometric.
initiative:Aspecificproject,program,oractiontakentosolvesomebusiness
problem(s)orachievesomespecificchangeobjective(s).
input(businessanalysis):Informationconsumedortransformedtoproducean
output.Aninputistheinformationnecessaryforatasktobegin.
inspection:Aformalreviewofaworkproductbyqualifiedindividualsthatfollows
apredefinedprocess,andusespredefinedcriteria,fordefectidentification
andremoval.
interface:Asharedboundarybetweenanytwopersonsand/orsystemsthrough
whichinformationiscommunicated.
interoperability:Abilityofsystemstocommunicatebyexchangingdataor
services.
interview:Elicitinginformationfromapersonorgroupofpeopleinaninformal
orformalsettingbyaskingrelevantquestionsandrecordingtheresponses.
Ishikawadiagram:Seefishbonediagram.
iteration(businessanalysis):Asingleinstanceofprogressivecyclesofanalysis,
development,testing,orexecution.
k
l
knowledgearea(businessanalysis):Anareaofexpertisethatincludesseveral
specificbusinessanalysistasks.
lessonslearnedprocess:Aprocessimprovementtechniqueusedtolearnabout
andimproveonaprocessorproject.Alessonslearnedsessioninvolvesa
specialmeetinginwhichtheteamexploreswhatworked,whatdidn'twork,
whatcouldbelearnedfromthejustcompletediteration,andhowtoadapt
processesandtechniquesbeforecontinuingorstartinganew.
447
implementationsubjectmatterexpert:Astakeholderwhohasspecialized
knowledgeregardingtheimplementationofoneormoresolution
components.
Glossary
lifecycle:Aseriesofchangesanitemorobjectundergoesfrominceptionto
retirement
matrix:Atextualformofmodellingusedtorepresentinformationthatcanbe
categorized,crossreferenced,andrepresentedinatableformat.
metadata:Adescriptionofdatatohelpunderstandhowtousethatdata,either
intermsofthestructureandspecificationofthedata,orthedescriptionof
aspecificinstanceofanobject.
methodology:Abodyofmethods,techniques,procedures,workingconcepts,
andrulesusedtosolveaproblem
metric:Aquantifiablelevelofanindicatormeasuredataspecifiedpointintime.
missionstatement:Aformaldeclarationofvaluesandgoalsthatexpressesthe
corepurposeoftheenterprise.
model:Arepresentationandsimplificationofrealitydevelopedtoconvey
informationtoaspecificaudiencetosupportanalysis,communication,and
understanding.
monitoring:Collectingdataonacontinuousbasisfromasolutioninorderto
determinehowwellasolutionisimplementedcomparedtoexpected
results.Seealsometricindicator.
need:Aproblemoropportunitytobeaddressed.
nonfunctionalrequirement:Atypeofrequirementthatdescribesthe
performanceorqualityattributesasolutionmustmeet.Nonfunctional
requirementsareusuallymeasurableandactasconstraintsonthedesignof
asolutionasawhole.
objective:Seebusinessobjective.
observation(businessanalysis):Studyingandanalyzingoneormorestakeholders
intheirworkenvironmentinordertoelicitrequirements.
OLAP:Seeonlineanalyticalprocessing.
onlineanalyticalprocessing(OLAP):Abusinessintelligenceapproachthatallows
userstoanalyzelargeamountsofdatafromdifferentpointsofview.
operationalsupport:Astakeholderwhoisresponsibleforthedaytoday
managementandmaintenanceofasystemorproduct.
operativerule:Seebehaviouralbusinessrule.
organization:Anautonomousgroupofpeopleunderthemanagementofa
singleindividualorboard,thatworkstowardscommongoalsand
objectives.
448
Glossary
organizationalcapability:Afunctioninsidetheenterprise,madeupof
componentssuchasprocesses,technologies,andinformationandusedby
organizationstoachievetheirgoals.
organizationalchangemanagement:Seechangemanagement.
organizationmodelling:Theanalysistechniqueusedtodescriberoles,
responsibilitiesandreportingstructuresthatexistwithinanenterprise.
organizationalunit:Anyrecognizedassociationofpeoplewithinanorganization
orenterprise.
peerreview:Aformalorinformalreviewofaworkproducttoidentifyerrorsor
opportunitiesforimprovement.Seealsoinspection.
policy:Seebusinesspolicy.
predictiveapproach:Anapproachwhereplanningandbaselinesareestablished
earlyinthelifecycleoftheinitiativeinordertomaximizecontroland
minimizerisk.
prioritization:Determiningtherelativeimportanceofasetofitemsinorderto
determinetheorderinwhichtheywillbeaddressed.
process:Asetofactivitiesdesignedtoaccomplishaspecificobjectivebytaking
oneormoredefinedinputsandturningthemintodefinedoutputs.
processmodel:Asetofdiagramsandsupportinginformationaboutaprocess
andfactorsthatcouldinfluencetheprocess.Someprocessmodelsareused
tosimulatetheperformanceoftheprocess.
product(businessanalysis):Asolutionorcomponentofasolutionthatisthe
resultofaninitiative.
productbacklog:Asetofuserstories,requirements,orfeaturesthathavebeen
identifiedascandidatesforpotentialimplementation,prioritized,and
estimated.
productscope:Seesolutionscope.
productvisionstatement:Abriefstatementorparagraphthatdescribesthegoals
ofthesolutionandhowitsupportsthestrategyoftheorganizationor
enterprise.
project:Atemporaryendeavourundertakentocreateauniqueproduct,service,
orresult.
projectmanager:Astakeholderwhoisresponsibleformanagingthework
requiredtodeliverasolutionthatmeetsabusinessneed,andforensuring
thattheproject'sobjectivesaremetwhilebalancingtheprojectconstraints,
449
plan:Adetailedschemefordoingorachievingsomethingusuallycomprisinga
setofevents,dependencies,expectedsequence,schedule,resultsor
outcomes,materialsandresourcesneeded,andhowstakeholdersneedto
beinvolved.
Glossary
includingscope,budget,schedule,resources,quality,andrisk.
projectscope:Theworkthatmustbeperformedtodeliveraproduct,service,or
resultwiththespecifiedfeaturesandfunctions.
proofofconcept:Amodelcreatedtovalidatethedesignofasolutionwithout
modellingtheappearance,materialsusedinthecreationofwork,or
processesandworkflowsultimatelyusedbythestakeholders.
prototype:Apartialorsimulatedapproximationofthesolutionforthepurposeof
elicitingorverifyingrequirementswithstakeholders.
quality:Thedegreetowhichasetofinherentcharacteristicsfulfillsneeds.
qualityassurance:Asetofactivitiesperformedtoensurethataprocesswill
deliverproductsthatmeetanappropriatelevelofquality.
qualityattributes:Asetofmeasuresusedtojudgetheoverallqualityofasystem.
Seealsononfunctionalrequirements.
questionnaire:Asetofdefinedquestions,withachoiceofanswers,usedto
collectinformationfromrespondents.
RACImatrix:Seeresponsible,accountable,consulted,andinformedmatrix.
regulator:Astakeholderfromoutsidetheorganizationwhoisresponsibleforthe
definitionandenforcementofstandards.
repository:Arealorvirtualfacilitywhereallinformationonaspecifictopicis
storedandisavailableforretrieval.
requestforinformation(RFI):Aformalelicitationmethodintendedtocollect
informationregardingavendor'scapabilitiesoranyotherinformation
relevanttoapotentialupcomingprocurement.
requestforproposal(RFP):Arequirementsdocumentissuedwhenan
organizationisseekingaformalproposalfromvendors.AnRFPtypically
requiresthattheproposalsbesubmittedfollowingaspecificprocessand
usingsealedbidswhichwillbeevaluatedagainstaformalevaluation
methodology.
requestforquote(RFQ):Aprocurementmethodofsolicitingpriceandsolution
optionsfromvendors.
requestfortender(RFT):Anopeninvitationtovendorstosubmitaproposalfor
goodsorservices.
requirement:Ausablerepresentationofaneed.
requirementsattribute:Acharacteristicorpropertyofarequirementusedto
assistwithrequirementsmanagement.
450
Glossary
requirementsallocation:Theprocessofassigningrequirementstobe
implementedbyspecificsolutioncomponents.
requirementsarchitecture:Therequirementsofaninitiativeandthe
interrelationshipsbetweentheserequirements.
requirementsartifact:Abusinessanalysisartifactcontaininginformationabout
requirementssuchasadiagram,matrix,documentormodel.
requirementsdefect:Aproblemorerrorinarequirement.Defectsmayoccur
becausearequirementispoorquality(seerequirementsverification)or
becauseitdoesnotdescribeaneedthat,ifmet,wouldprovidevalueto
stakeholders(seerequirementsvalidation).
requirementsdocument:Seerequirementspackage.
requirementsmanagement:Planning,executing,monitoring,andcontrollingany
oralloftheworkassociatedwithrequirementselicitationandcollaboration,
requirementsanalysisanddesign,andrequirementslifecyclemanagement.
requirementsmanagementplan:Asubsetofthebusinessanalysisplanfora
specificchangeinitiative,describingspecifictools,activities,androlesand
responsibilitiesthatwillbeusedontheinitiativetomanagethe
requirements.Seebusinessanalysisplan.
requirementsmanagementtool:Specialpurposesoftwarethatprovidessupport
foranycombinationofthefollowingcapabilities:elicitationand
collaboration,requirementsmodellingand/orspecification,requirements
traceability,versioningandbaselining,attributedefinitionfortrackingand
monitoring,documentgeneration,andrequirementschangecontrol.
requirementsmodel:Anabstract(usuallygraphical)representationofsome
aspectofthecurrentorfuturestate.
requirementspackage:Aspecializedformofabusinessanalysispackage
primarilyconcernedwithrequirements.Arequirementspackagemay
representabaselineofacollectionofrequirements.
requirementstraceability:Theabilityfortrackingtherelationshipsbetweensets
ofrequirementsanddesignsfromtheoriginalstakeholderneedtothe
actualimplementedsolution.Traceabilitysupportschangecontrolby
ensuringthatthesourceofarequirementordesigncanbeidentifiedand
otherrelatedrequirementsanddesignspotentiallyaffectedbyachangeare
known.
requirementsvalidation:Workdonetoevaluaterequirementstoensurethey
supportthedeliveryoftheexpectedbenefitsandarewithinthesolution
scope.
requirementsverification:Workdonetoevaluaterequirementstoensuretheyare
definedcorrectlyandareatanacceptablelevelofquality.Itensuresthe
requirementsaresufficientlydefinedandstructuredsothatthesolution
451
requirementslifecycle:Thestagesthroughwhicharequirementprogressesfrom
inceptiontoretirement.
Glossary
developmentteamcanusetheminthedesign,development,and
implementationofthesolution.
requirementsworkshop:Astructuredmeetinginwhichacarefullyselectedgroup
ofstakeholderscollaboratetodefineand/orrefinerequirementsunderthe
guidanceofaskilledneutralfacilitator.
residualrisk:Theriskremainingafteractionhasbeentakenorplanshavebeen
putinplacetodealwiththeoriginalrisk.
retrospective:Seelessonslearnedprocess.
returnoninvestment(ROI)(businessanalysis):Ameasureoftheprofitabilityofa
projectorinvestment.
responsible,accountable,consulted,andinformedmatrix(RACImatrix):Atool
usedtoidentifytheresponsibilitiesofrolesorteammembersandthe
activitiesordeliverablesinwhichtheywillparticipate,bybeingresponsible
(doingthework),accountable(approvingtheresults),consulted(providing
input)orinformedofthecompleteditemafterithasbeencompleted.
RFI: Seerequestforinformation.
RFP: Seerequestforproposal.
RFQ:Seerequestforquote.
RFT: Seerequestfortender.
risk(businessanalysis):Theeffectofuncertaintyonthevalueofachange,a
solution,ortheenterprise.Seealsoresidualrisk.
riskassessment:Identifying,analyzingandevaluatingrisks.
ROI: Seereturnoninvestment.
rootcause:Thecauseofaproblemhavingnodeepercause,usuallyoneof
severalpossiblecauses.
rootcauseanalysis:Astructuredexaminationofanidentifiedproblemto
understandtheunderlyingcauses.
scope:Theboundariesofcontrol,change,asolution,oraneed.
scopemodel:Amodelthatdefinestheboundariesofabusinessdomainor
solution.
secondaryactor:Anactorexternaltothesystemunderdesignthatsupportsthe
executionofausecase.
sequencediagram:Atypeofdiagramthatshowsobjectsparticipatingin
interactionsandthemessagesexchangedbetweenthem.
service(businessanalysis):Theperformanceofanydutiesorworkfora
stakeholder,fromtheperspectiveofthestakeholder.
SIPOC:Seesuppliers,inputs,process,outputsandcustomers.
452
Glossary
SME:Seesubjectmatterexpert.
softwareengineer:Seedeveloper.
solution:Aspecificwayofsatisfyingoneormoreneedsinacontext.
solutioncomponent:Asubpartofasolutionthatcanbepeople,infrastructure,
hardware,software,equipment,facilities,andprocessassetsorany
combinationofthesesubparts.
solutionoption:Onepossiblewaytosatisfyoneormoreneedsinacontext.
solutionrequirement:Acapabilityorqualityofasolutionthatmeetsthe
stakeholderrequirements.Solutionrequirementscanbedividedintotwo
subcategories:functionalrequirementsandnonfunctionalrequirementsor
qualityofservicerequirements.
solutionscope:Thesetofcapabilitiesasolutionmustdeliverinordertomeetthe
businessneed.
SOW:Seestatementofwork.
sponsor:Astakeholderwhoisresponsibleforinitiatingtheefforttodefinea
businessneedanddevelopasolutionthatmeetsthatneed.Theyauthorize
theworktobeperformedandcontrolthebudgetandscopeforthe
initiative.
stakeholder:Agrouporindividualwitharelationshiptothechange,theneed,or
thesolution.
stakeholderanalysis:Identifyingandanalyzingthestakeholderswhomaybe
impactedbythechangeandassesstheirimpact,participation,andneeds
throughoutthebusinessanalysisactivities.
stakeholderlist:Acatalogueofthestakeholdersaffectedbyachange,business
need,orproposedsolution,andadescriptionoftheirattributesand
characteristicsrelatedtotheirinvolvementintheinitiative.
stakeholderproxy(businessanalyst):Theroleabusinessanalysttakeswhen
representingtheneedsofastakeholderorstakeholdergroup.
stakeholderrequirement:Adescriptionoftheneedsofaparticularstakeholderor
classofstakeholdersthatmustbemetinordertoachievethebusiness
requirements.Theymayserveasabridgebetweenbusinessrequirements
andthevariouscategoriesofsolutionrequirements.
statediagram:Ananalysismodelshowingthelifecycleofadataentityorclass.
statedrequirement:Arequirementarticulatedbyastakeholderthathasnotbeen
analyzed,verified,orvalidated.Statedrequirementsfrequentlyreflectthe
desiresofastakeholderratherthantheactualneed.
statementofwork(SOW):Awrittendescriptionoftheservicesortasksthatare
requiredtobeperformed.
453
solutionlifecycle:Thestagesthroughwhichasolutionprogressesfrominception
toretirement.
Glossary
strategy:Adescriptionofthechosenapproachtoapplythecapabilitiesofan
enterpriseinordertoreachadesiredsetofgoalsorobjectives.
strengths,weaknesses,opportunities,andthreatsanalysis(SWOT):Ananalysis
modelusedtounderstandinfluencingfactorsandhowtheymayaffectan
initiative.AlsoknownasSWOTanalysis.
structuralrule:Seedefinitionalbusinessrule.
subjectmatterexpert(SME):Seedomainsubjectmatterexpertimplementation
subjectmatterexpert.
supplier:Astakeholderoutsidetheboundaryofagivenorganizationor
organizationalunitwhoprovidesproductsorservicestotheorganization
andmayhavecontractualormoralrightsandobligationsthatmustbe
considered.
suppliers,inputs,process,outputs,andcustomers(SIPOC):Atoolusedto
describerelevanthighlevelelementsofaprocess.Maybeusedin
conjunctionwithprocessmappingandin/outofscopetools,toprovide
additionaldetail.
survey:Collectingandmeasuringtheopinionsorexperiencesofagroupof
peoplethroughaseriesofquestions.
swimlane:Ahorizontalorverticalsectionofaprocessdiagramthatshowswhich
activitiesareperformedbyaparticularactororrole.
SWOTanalysis:Seestrengths,weaknesses,opportunitiesandthreatsanalysis.
system:Asetofinterdependentcomponentsthatinteractinvariouswaysto
produceasetofdesiredoutcomes.
task(businessanalysis):Adiscretepieceofworkthatmaybeperformedformally
orinformallyaspartofbusinessanalysis.
technique:Amanner,method,orstyleforconductingabusinessanalysistaskor
forshapingitsoutput.
temporalevent:Aneventbasedontimethatcantriggertheinitiationofa
process,evaluationofbusinessrules,orsomeotherresponse.
tester:Anindividualresponsiblefordetermininghowtoverifythatthesolution
meetstherequirementsdefinedbythebusinessanalyst,andconductingthe
verificationprocess.
throwawayprototype:Aprototypeusedtoquicklyuncoverandclarify
requirementsordesignsusingsimpletools,sometimesjustpaperand
pencil.Itisintendedtobediscardedwhenthefinalsystemhasbeen
developed.
timebox:Anagreeduponperiodoftimeinwhichanactivityisconductedora
defineddeliverableisintendedtobeproduced.
traceability:Seerequirementstraceability.
454
Glossary
transitionrequirement:Arequirementthatdescribesthecapabilitiesthesolution
musthaveandtheconditionsthesolutionmustmeettofacilitatetransition
fromthecurrentstatetothefuturestate,butwhicharenotneededonce
thechangeiscomplete.Theyaredifferentiatedfromotherrequirements
typesbecausetheyareofatemporarynature.
UAT: Seeuseracceptancetest.
UML:Seeunifiedmodellinglanguage.
usecase:Adescriptionoftheobservableinteractionbetweenanactor(oractors)
andasolutionthatoccurswhentheactorusesthesystemtoaccomplisha
specificgoal.
usecasediagram:AtypeofdiagramdefinedbyUML thatcapturesallactors
andusecasesinvolvedwithasystemorproduct.
user:Seeenduser.
useracceptancetest(UAT):Assessingwhetherthedeliveredsolutionmeetsthe
needsofthestakeholdergroupthatwillbeusingthesolution.The
assessmentisvalidatedagainstidentifiedacceptancecriteria.
userrequirement:Seestakeholderrequirement.
userstory:Asmall,concisestatementoffunctionalityorqualityneededtodeliver
valuetoaspecificstakeholder.
validation(businessanalysis):Theprocessofcheckingthatadeliverableis
suitableforitsintendeduse.Seealsorequirementsvalidation.
validatedrequirement:Arequirementthathasbeenreviewedandisdetermined
tosupportthedeliveryoftheexpectedbenefits,andiswithinthesolution
scope.
value(businessanalysis):Theworth,importance,orusefulnessofsomethingtoa
stakeholderinacontext.
valuestreammapping:Acomplete,factbased,timeseriesrepresentationofthe
streamofactivitiesrequiredtodeliveraproductorservice.
verification(businessanalysis):Theprocessofdeterminingthatadeliverableor
artifactmeetsanacceptablestandardofquality.Seealsorequirements
verification.
455
unifiedmodellinglanguageAnotationspecifiedbytheObjectManagement
Groupfordescribingsoftwareapplicationstructure,behaviour,and
architecture.Itcanalsobeusedfordescribingbusinessprocessesanddata
structures.ThemostcommonUML diagramsusedbybusinessanalystsare
usecasediagrams,activitydiagrams,statemachinediagrams(alsoknown
asstatediagrams),andclassdiagrams.
Glossary
verifiedrequirement:Arequirementthathasbeenreviewedandisdeterminedto
bedefinedcorrectly,adherestostandardsorguidelines,andisatan
acceptablelevelofdetail.
verticalprototype:Aprototypethatisusedtodrilldownintoaproposedsolution
touncoverrequirementanddesignconsiderationsthroughmultiplelayers
ofasolutionthatarenoteasilyunderstoodorthatarenotdiscernibleon
thesurface.Itmayincludeinteractionbetweenseveralsolution
components.
viewpoint:Asetofconventionsthatdefinehowrequirementswillbe
represented,howtheserepresentationswillbeorganized,andhowthey
willberelated.
VSM:Seevaluestreammapping.
walkthrough:Areviewinwhichparticipantsstepthroughanartifactorsetof
artifactswiththeintentionofvalidatingtherequirementsordesigns,andto
identifyrequirementsordesignerrors,inconsistencies,omissions,
inaccuracies,orconflicts.
WBS:Seeworkbreakdownstructure.
workbreakdownstructure(WBS):Adeliverableorientedhierarchical
decompositionoftheworktobeexecutedtoaccomplishobjectivesand
createtherequireddeliverables.Itorganizesanddefinesthetotalscopeof
theproject.
workproduct(businessanalysis):Adocumentorcollectionofnotesordiagrams
usedbythebusinessanalystduringtherequirementsdevelopmentprocess.
Workshop:Afacilitatedandfocusedeventattendedbykeystakeholdersforthe
purposeofachievingadefinedgoal.
456
TechniquestoTaskMapping
AppendixB:TechniquestoTaskMapping
ThefollowingtableshowseachBABOK Guidetaskinwhichthetechniqueis
includedintheTechniquessection.
Thismappingisprovidedforreferencepurposesanddoesnotprecludethe
creativeuseofanytechniqueduringtheapplicationofanyothertaskinwhichit
isnotspecificallylisted.
457
458
10.3.Balanced
Scorecard
10.2.Backlog
Management
10.1.Acceptance
andEvaluation
Criteria
10.Techniques
3.BusinessAnalysis 4.Elicitationand
Planning
Collaboration
andMonitoring
5.3.Prioritize
Requirements
5.Requirements
LifeCycle
Management
5.5.Approve
Requirements
6.4.DefineChange
Strategy
6.2.DefineFuture
State
7.6.Analyze
PotentialValueand
Recommend
Solution
7.6.Analyze
PotentialValueand
Recommend
Solution
7.3.Validate
Requirements
7.2.Verify
Requirements
6.StrategyAnalysis 7.Requirements
AnalysisandDesign
Definition
6.2.DefineFuture 7.1.Specifyand
State
Model
Requirements
8.3.AssessSolution
Limitations
8.2.Analyze
Performance
Measures
8.1.Measure
Solution
Performance
8.Solution
Evaluation
459
10.5.
Brainstorming
10.4.
Benchmarking
andMarket
Analysis
4.2.Conduct
Elicitation
3.2.Plan
Stakeholder
Engagement
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.3.PlanBusiness
Analysis
Governance
4.1.Preparefor
Elicitation
3.1.PlanBusiness
AnalysisApproach
Planning
Collaboration
andMonitoring
4.2.Conduct
Elicitation
5.Requirements
LifeCycle
Management
6.4.DefineChange
Strategy
6.3.AssessRisks
6.2.DefineFuture
State
6.4.DefineChange
Strategy
6.2.DefineFuture
State
7.6.Analyze
PotentialValueand
Recommend
Solution
7.5.DefineDesign
Options
AnalysisandDesign
Definition
6.1.Analyze
7.5.DefineDesign
CurrentState
Options
10.Techniques
8.4.Assess
Enterprise
Limitations
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
8.2.Analyze
Performance
Measures
8.1.Measure
Solution
Performance
8.Solution
Evaluation
460
10.9.Business
RulesAnalysis
10.8.Business
ModelCanvas
10.7.Business
Cases
10.6.Business
Capability
Analysis
10.Techniques
3.2.Plan
Stakeholder
Engagement
3.1.PlanBusiness
AnalysisApproach
4.2.Conduct
Elicitation
Planning
Collaboration
andMonitoring
5.4.Assess
Requirements
Changes
5.2.Maintain
Requirements
5.4.Assess
Requirements
Changes
5.3.Prioritize
Requirements
5.Requirements
LifeCycle
Management
6.4.DefineChange
Strategy
6.2.DefineFuture
State
6.4.DefineChange
Strategy
6.1.Analyze
CurrentState
6.3.AssessRisks
6.2.DefineFuture
State
6.4.DefineChange
Strategy
6.1.Analyze
CurrentState
7.6.Analyze
PotentialValueand
Recommend
Solution
7.1.Specifyand
8.3.AssessSolution
Model
Limitations
Requirements
7.1.Specifyand
Model
Requirements
7.6.Analyze
8.1.Measure
PotentialValueand Solution
Recommend
Performance
Solution
8.Solution
AnalysisandDesign Evaluation
Definition
6.1.Analyze
7.1.Specifyand
CurrentState
Model
Requirements
6.2.DefineFuture
State
461
10.14.Data
Mining
10.13.DataFlow
Diagrams
10.12.Data
Dictionary
10.11.Concept
Modelling
10.10.
Collaborative
Games
4.2.Conduct
Elicitation
4.1.Preparefor
Elicitation
4.5.Manage
Stakeholder
Collaboration
4.2.Conduct
Elicitation
Planning
Collaboration
andMonitoring
4.2.Conduct
Elicitation
5.2.Maintain
Requirements
5.Requirements
LifeCycle
Management
6.1.Analyze
CurrentState
6.1.Analyze
CurrentState
7.1.Specifyand
Model
Requirements
7.1.Specifyand
Model
Requirements
7.1.Specifyand
Model
Requirements
8.5.Recommend
ActionstoIncrease
SolutionValue
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
8.2.Analyze
Performance
Measures
8.1.Measure
Solution
Performance
8.Solution
Definition
10.Techniques
462
3.3.PlanBusiness
Analysis
Governance
4.3.Confirm
ElicitationResults
4.2.Conduct
Elicitation
3.2.Plan
Stakeholder
Engagement
5.4.Assess
Requirements
Changes
5.2.Maintain
Requirements
6.3.AssessRisks
6.1.Analyze
CurrentState
4.1.Preparefor
Elicitation
3.1.PlanBusiness
AnalysisApproach
10.18.Document
Analysis
5.5.Approve
Requirements
6.3.AssessRisks
5.4.Assess
Requirements
Changes
6.4.DefineChange
Strategy
6.2.DefineFuture
State
7.5.DefineDesign
Options
7.1.Specifyand
Model
Requirements
7.3.Validate
Requirements
8.4.Assess
Enterprise
Limitations
8.5.Recommend
ActionstoIncrease
SolutionValue
8.4.Assess
Enterprise
Limitations
7.4.Define
Requirements
Architecture
7.6.Analyze
8.1.Measure
Recommend
Performance
Solution
8.3.AssessSolution
Limitations
8.Solution
Definition
7.1.Specifyand
Model
Requirements
5.3.Prioritize
Requirements
5.Requirements
LifeCycle
Management
5.2.Maintain
Requirements
6.2.DefineFuture
State
Planning
Collaboration
andMonitoring
4.2.Conduct
Elicitation
10.17.Decision
Modelling
10.16.Decision
Analysis
10.15.Data
Modelling
10.Techniques
463
3.1.PlanBusiness
AnalysisApproach
10.23.Glossary
10.22.Functional 3.1.PlanBusiness
Decomposition
AnalysisApproach
10.21.Focus
Groups
10.20.Financial
Analysis
3.BusinessAnalysis
Planning
andMonitoring
10.19.Estimation 3.1.PlanBusiness
AnalysisApproach
4.2.Conduct
Elicitation
4.1.Preparefor
Elicitation
4.Elicitationand
Collaboration
6.2.DefineFuture
State
5.2.Maintain
Requirements
6.4.DefineChange
Strategy
6.1.Analyze
CurrentState
6.4.DefineChange
Strategy
6.4.DefineChange
Strategy
6.1.Analyze
CurrentState
6.3.AssessRisks
6.2.DefineFuture
State
6.1.Analyze
CurrentState
8.5.Recommend
ActionstoIncrease
SolutionValue
7.1.Specifyand
Model
Requirements
7.4.Define
Requirements
Architecture
7.6.Analyze
8.1.Measure
Recommend
Performance
Solution
8.5.Recommend
ActionstoIncrease
SolutionValue
7.1.Specifyand
Model
Requirements
7.6.Analyze
PotentialValueand
Recommend
Solution
7.3.Validate
Requirements
8.Solution
Definition
6.4.DefineChange 7.6.Analyze
Strategy
PotentialValueand
Recommend
Solution
5.1.Trace
Requirements
5.4.Assess
Requirements
Changes
5.4.Assess
Requirements
Changes
5.3.Prioritize
Requirements
5.Requirements
LifeCycle
Management
5.3.Prioritize
Requirements
10.Techniques
5.4.Assess
Requirements
Changes
3.2.Plan
Stakeholder
Engagement
464
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.3.PlanBusiness
Analysis
Governance
4.4.Communicate
BusinessAnalysis
Information
4.3.Confirm
ElicitationResults
4.2.Conduct
Elicitation
4.1.Preparefor
Elicitation
5.Requirements
LifeCycle
Management
5.4.Assess
Requirements
Changes
5.3.Prioritize
Requirements
Planning
Collaboration
andMonitoring
4.2.Conduct
Elicitation
10.25.Interviews 3.1.PlanBusiness
AnalysisApproach
10.24.Interface
Analysis
10.Techniques
AnalysisandDesign
Definition
7.1.Specifyand
Model
Requirements
6.1.Analyze
7.4.Define
CurrentState
Requirements
Architecture
6.2.DefineFuture
State
7.5.DefineDesign
Options
6.3.AssessRisks
7.6.Analyze
6.4.DefineChange
PotentialValueand
Strategy
Recommend
Solution
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
8.2.Analyze
Performance
Measures
8.Solution
Evaluation
10.26.Item
Tracking
5.4.Assess
Requirements
Changes
5.5.Approve
Requirements
3.2.Plan
Stakeholder
Engagement
3.3.PlanBusiness
Analysis
Governance
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
5.Requirements
LifeCycle
Management
5.3.Prioritize
Requirements
Planning
Collaboration
andMonitoring
3.1.PlanBusiness
AnalysisApproach
7.3.Validate
Requirements
AnalysisandDesign
Definition
6.1.Analyze
7.2.Verify
CurrentState
Requirements
10.Techniques
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
8.Solution
Evaluation
465
10.28.Metrics
andKey
Performance
Indicators(KPIs)
10.27.Lessons
Learned
10.Techniques
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.3.PlanBusiness
Analysis
Governance
3.2.Plan
Stakeholder
Engagement
3.BusinessAnalysis
Planning
andMonitoring
3.1.PlanBusiness
AnalysisApproach
4.5.Manage
Stakeholder
Collaboration
4.Elicitationand
Collaboration
5.Requirements
LifeCycle
Management
466
7.3.Validate
Requirements
6.2.DefineFuture
State
7.6.Analyze
PotentialValueand
Recommend
Solution
7.2.Verify
Requirements
6.1.Analyze
CurrentState
6.4.DefineChange
Strategy
6.3.AssessRisks
6.2.DefineFuture
State
AnalysisandDesign
Definition
6.1.Analyze
7.5.DefineDesign
CurrentState
Options
8.2.Analyze
Performance
Measures
8.1.Measure
Solution
Performance
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
8.Solution
Evaluation
467
10.32.
Organizational
Modelling
10.30.Non
Functional
Requirements
Analysis
10.31.
Observation
10.29.Mind
Mapping
3.3.PlanBusiness
Analysis
Governance
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.BusinessAnalysis
Planning
andMonitoring
3.2.Plan
Stakeholder
Engagement
4.2.Conduct
Elicitation
4.2.Conduct
Elicitation
4.1.Preparefor
Elicitation
4.Elicitationand
Collaboration
5.Requirements
LifeCycle
Management
6.4.DefineChange
Strategy
6.2.DefineFuture
State
6.1.Analyze
CurrentState
6.1.Analyze
CurrentState
6.4.DefineChange
Strategy
6.3.AssessRisks
6.2.DefineFuture
State
8.5.Recommend
ActionstoIncrease
SolutionValue
7.1.Specifyand
Model
Requirements
7.4.Define
Requirements
Architecture
8.2.Analyze
Performance
Measures
8.1.Measure
Solution
Performance
8.1.Measure
Solution
Performance
8.4.Assess
Enterprise
Limitations
8.4.Assess
Enterprise
Limitations
7.1.Specifyand
Model
Requirements
8.Solution
Definition
6.1.Analyze
7.5.DefineDesign
CurrentState
Options
10.Techniques
10.36.
Prototyping
3.1.PlanBusiness
AnalysisApproach
10.35.Process
Modelling
468
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.3.PlanBusiness
Analysis
Governance
3.2.Plan
Stakeholder
Engagement
3.5.Identify
BusinessAnalysis
Performance
Improvements
4.2.Conduct
Elicitation
4.2.Conduct
Elicitation
4.2.Conduct
Elicitation
Planning
Collaboration
andMonitoring
10.34.Process
Analysis
10.33.
Prioritization
10.Techniques
5.2.Maintain
Requirements
5.Requirements
LifeCycle
Management
5.3.Prioritize
Requirements
6.2.DefineFuture
State
6.4.DefineChange
Strategy
6.2.DefineFuture
State
7.1.Specifyand
Model
Requirements
7.1.Specifyand
Model
Requirements
8.1.Measure
Solution
Performance
8.5.Recommend
ActionstoIncrease
SolutionValue
8.4.Assess
Enterprise
Limitations
8.Solution
Definition
8.5.Recommend
ActionstoIncrease
SolutionValue
6.1.Analyze
8.4.Assess
CurrentState
Enterprise
Limitations
469
10.39.Rolesand
Permissions
Matrix
10.38.Risk
Analysisand
Management
10.37.Reviews
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.2.Plan
Stakeholder
Engagement
3.3.PlanBusiness
Analysis
Governance
3.BusinessAnalysis
Planning
andMonitoring
3.2.Plan
Stakeholder
Engagement
5.3.Prioritize
Requirements
5.4.Assess
Requirements
Changes
4.5.Manage
Stakeholder
Collaboration
5.Requirements
LifeCycle
Management
5.5.Approve
Requirements
4.1.Preparefor
Elicitation
4.4.Communicate
BusinessAnalysis
Information
4.3.Confirm
ElicitationResults
4.Elicitationand
Collaboration
6.3.AssessRisks
6.1.Analyze
CurrentState
8.2.Analyze
Performance
Measures
8.5.Recommend
ActionstoIncrease
SolutionValue
8.4.Assess
Enterprise
Limitations
7.6.Analyze
PotentialValueand 8.3.AssessSolution
Recommend
Limitations
Solution
8.4.Assess
Enterprise
Limitations
7.3.Validate
Requirements
7.3.Validate
Requirements
8.Solution
Definition
7.2.Verify
Requirements
10.Techniques
470
10.44.State
Modelling
10.43.
StakeholderList,
Map,orPersonas
10.42.Sequence
Diagrams
10.41.Scope
Modelling
10.40.Root
CauseAnalysis
10.Techniques
3.2.Plan
Stakeholder
Engagement
4.5.Manage
Stakeholder
Collaboration
4.1.Preparefor
Elicitation
Planning
Collaboration
andMonitoring
3.5.Identify
BusinessAnalysis
Performance
Improvements
5.Requirements
LifeCycle
Management
6.4.DefineChange
Strategy
6.2.DefineFuture
State
6.1.Analyze
CurrentState
7.1.Specifyand
Model
Requirements
7.1.Specifyand
Model
Requirements
7.1.Specifyand
Model
Requirements
7.4.Define
Requirements
Architecture
7.1.Specifyand
Model
Requirements
AnalysisandDesign
Definition
6.1.Analyze
7.1.Specifyand
CurrentState
Model
Requirements
6.3.AssessRisks
7.5.DefineDesign
Options
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
8.2.Analyze
Performance
Measures
8.Solution
Evaluation
5.2.Maintain
Requirements
10.48.User
Stories
5.Requirements
LifeCycle
Management
5.2.Maintain
Requirements
4.2.Conduct
Elicitation
4.Elicitationand
Collaboration
6.4.DefineChange
Strategy
6.2.DefineFuture
State
6.1.Analyze
CurrentState
6.3.AssessRisks
6.2.DefineFuture
State
8.1.Measure
Solution
Performance
8.Solution
Evaluation
7.1.Specifyand
Model
Requirements
7.1.Specifyand
Model
Requirements
8.1.Measure
Solution
Performance
8.5.Recommend
ActionstoIncrease
SolutionValue
7.6.Analyze
8.4.Assess
PotentialValueand Enterprise
Recommend
Limitations
Solution
8.4.Assess
Enterprise
Limitations
8.3.AssessSolution
Limitations
7.6.Analyze
PotentialValueand 8.2.Analyze
Recommend
Performance
Solution
Measures
AnalysisandDesign
Definition
6.1.Analyze
7.5.DefineDesign
CurrentState
Options
471
10.47.UseCases
andScenarios
10.46.SWOT
Analysis
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.3.PlanBusiness
Analysis
Governance
3.BusinessAnalysis
Planning
andMonitoring
10.45.Surveyor 3.2.Plan
Questionnaire
Stakeholder
Engagement
10.Techniques
10.50.
Workshops
10.49.Vendor
Assessment
10.Techniques
472
3.5.Identify
BusinessAnalysis
Performance
Improvements
3.4.PlanBusiness
Analysis
Information
Management
3.3.PlanBusiness
Analysis
Governance
4.3.Confirm
ElicitationResults
3.2.Plan
Stakeholder
Engagement
4.4.Communicate
BusinessAnalysis
Information
4.2.Conduct
Elicitation
3.1.PlanBusiness
AnalysisApproach
Planning
Collaboration
andMonitoring
5.5.Approve
Requirements
5.4.Assess
Requirements
Changes
5.3.Prioritize
Requirements
5.Requirements
LifeCycle
Management
6.4.DefineChange
Strategy
6.3.AssessRisks
6.2.DefineFuture
State
6.4.DefineChange
Strategy
6.1.Analyze
CurrentState
6.2.DefineFuture
State
7.6.Analyze
PotentialValueand
Recommend
Solution
7.5.DefineDesign
Options
7.4.Define
Requirements
Architecture
AnalysisandDesign
Definition
6.1.Analyze
7.5.DefineDesign
CurrentState
Options
8.4.Assess
Enterprise
Limitations
8.1.Measure
Solution
Performance
8.Solution
Evaluation
Contributors
AppendixC:Contributors
BodyofKnowledgeCommittee
ContentforthisreleasewasprimarilydevelopedbytheBodyofKnowledge
Committee:
AngelaM.Wick,CBAP,PMP,PBA
EmilyIem,CBAP,PMP:Chairperson
JohnM.A.Burns,MSc,BSc,CEng
MasahikoSoh
MatthewW.Leach,CBAP
PeterLefterov,CBAP
PhilVincent,CBAP,M.Comp.Sci.,PMP
ShaneHastie,CBAP,MIM,ICEVM
JulianSammy
LauraPaton,CBAP,MBA,PMP:PastChairperson
TomBurke,CBAP,MS,CSPO
BodyofKnowledgeOperationsTeam
Thefollowingindividualspartneredwithandsupportedallstakeholdersto
providetheframeworkforcontentdevelopmentanddelivery:
KevinBrennan,CBAP,OCEB,PMP,ExecutiveVicePresident,
ProductManagementandDevelopment,IIBA:Sponsor
PaulStapleton,StandardsandPublicationsManager,IIBA:Editor
SandiCampbell,ProjectManager,IIBA:ProjectManager
ContentContributors
Thefollowingindividualscontributedadditionalcontentusedinthisrevision:
AlbertoVasquez
AngiePerris,CBAP,MBA,PMP
AlesStempihar
AnneFomim,CBAP
AliMazer,CBAP,MBA
BethFaris,CBAP
AndrewGuitarte,CBAP,DBA,
PMP
BrianT.Hunt,CBAP,I.Eng.,
FInstLM
473
JoyBeatty,CBAP,PMIPBA
Contributors
CariJ.FaanesBlakey,CBAP,PMI
PBA
MarshaB.Hughes,CBAP,PMP,
CSM
CharlesBozonier,CBAP
MartinSchedlbauer,CBAP,PhD
ChristinaD.Harris,ITIL,BA
MaureenMcVey,CBAP
ColleenS.Berish,AIT
McNaughtonLebohang,CBAP,
BSc(Hons)CS,PMP
DeanJ.Larson,CBAP
MikeCrawford
DenaLoadwick,CBAP
EdwinaSimons,CBAP,MBA,
SSGB
MilenaKomitska,PhD
MuhammadSaadRahman,
CBAP,M.Sc.,PMP
EllanKayYoung
MikeRosen
GaganSaxena
GeorgySaveliev,CBAP
NealeCroutearFoy,BA(Hons.),
FBCS,FInstLM
GregGeracie
NormanA.Thuswaldner,CBAP
HeatherMylanMains,CBAP
PaulMulvey,CBAP
IngerDickson,CBAP
PoonamDhanwani
James(Jim)Baird,CMC
RicardoPereira,CBAP
JamesTaylor
RichardLarson,CBAP,PMP,PMI
PBA
JanetWood,CBAP
JasonAndrewOliver,CBAP,
MBA,CISSP
RonaldG.Ross
SeanP.Boylan,CBAP,MAppLing
JasonFrink,CBAP
SergioConte
JasonQuestor
SherriL.Nowak,CBAP,MSM
JenniferBattan,CBAP
SilkeGoodwin,CBAP
JenniferSwearingen
StevenBlais,PMP,PBA
JoshJones,CBAP
SuneetK.Garg,CBAP,TOGAF9,
CBPP
Dr.JoyceStatz
JudithA.Haughton,CBAP,MBA
SuzanneR.Burgess,CBAP
JulesPrevost,CBAP
TharshanSreetharan,CBAP,PMP,
MBA
KellyMorrisonSmith,MBA,MS
TheaRasins
ManishS.Nachnani,CBAP,PMP,
CSM
Thomas(Tom)Barker,CBAP,PhD,
PMP
MarceloNeves,CBAP
TinaM.Underhill
MariaAmuchastegui,CBAP,
CTFL,CSM
VictoriaCupet,CBAP,PMP,PMI
PBA
474
Contributors
ExpertAdvisoryandReviewGroup
ThefollowingindustryexpertsgenerouslyprovidedIIBA withadviceand
guidanceonthescopeandcontentofversion3.0oftheBABOK
Guideduring
itsplanninganddevelopment,andhelpedtoshapethecontentanddirectionof
thisrelease.
BarbaraA.Carkenord,CBAP,
PMIPBA,PMP
BillBigler,PhD
JeffScott
KentJ.McDonald
KittyHass
BrianCameron
LindaR.Finley
ChuckWalrad
EllenGottesdiener,SM,CPS
GladysS.W.Lam
MaryGorman,CBAP,CSM,PMI
PBA
MikeRosen
PeterH.M.Brooks,B.Sc.,FSM
RogerT.Burlton,P.Eng,CMC
GregGeracie
RonaldG.Ross
JamesRobertson
SuzanneRobertson
JamesTaylor
WhyndeKuehn
JasonQuestor
PractitionerReviewers
Thefollowingindividualsparticipatedinthepractitionerreviewofversion3.0,
andprovidedfeedbackusedtohelptoshapethecontentanddirectionofthe
PublicReviewDraft.
AljaPrusnik,CBAP
DevendraShrikantUpadhye,
CBAP
AngelaMusa,CBAP
DianaCagle,CBAP,MBA
AnnetteBrice,CBAP
AshokKaushal
FabrcioLaguna,CBAP,PMP,
MBA
BarbaraJMonaco,CBAP
GeoffreyGriffin,CBAP
BethGomolka,CBAP,PMP,CSP
IaviRotberg
CarolR.Drew,CBAP
JayeshJain,CBAP,B.Sc.,CSPO
CeiSanderson,CSPO
JoeGoss
CharlesRaj,CBAP,B.Com.,FCA
JosephF.Ruffolo
ChenKuangYu
KarenGras,CBAP
CherieWagner
KathleenC.McGoey
475
ElizabethLarson,CBAP,PMP,
CSM
Contributors
laithObeidat,CBAP
RobertDyason
LauraR.Walker,LSS
StevenJ.Gara,CBAP,MS
LenchePandovska,CBAP
TeriA.McIntyre,CBAP,CAPM,
MA
LilyV.Dang,CBAP
TheodoraTonkovska
LynnParkin,CCBA
MichaelD.Western,CBAP
TolaniJHassan,ISEB
TriciaK.Dreixler,CBAP
NicolaeCrudu,CCBA
ParthaPratimDas,PMP,CSM
WayneLi
YoshinoriTanaka,CBAP
RichardFreeley,CBAP
ZoyaRoytblat,CBAP
Thefollowingindividualsalsoservedasreviewteamleads:
BillieJohnson,CBAP,PBA,CSM
CamilleL.Spruill,CBAP,PMP,CSM
ChaithanyaAtthanti,CBAP
JeanetteMooreLoggins,CBAP,BA,MBA,
KimberleyByron,CBAP
PeterJohnson,CBAP
TomKarasmanis
AgileExtension
ContentforthisversionincludescontentfromtheAgileExtensiontotheBABOK
Guide.IIBAwouldliketothankthefollowingcontributorstotheAgileExtension
totheBABOKGuide.
AliMazer
LuizClaudioParzianello
BrianHemker
MarshaHughes
CarolScalice
PascalVanCauwenberghe
ChrisMatts
PaulStapleton,Editor
DavidC.Cook
PeterGordon
DavidMorris
ShaneHastie
DennisStevens
SteveErlank
EllenGottesdiener
SusanBlock
KevinBrennan
476
Contributors
EnterpriseBusinessAnalysisExtensionDraft
ContentforthisversionincludescontentfromtheEnterpriseBusinessAnalysis
ExtensiontotheBABOKGuideDraft.IIBA wouldliketothankthefollowing
contributorstotheEnterpriseBusinessAnalysisExtensiontotheBABOK Guide
Draft.
CharlieHuaiLingCh'ng
MattNorthrup
DeanLarson
NeilBurton
JasonQuestor
NitzaDovenspike
JoanneDong
PhillipQuinn
KevinBrennan
RonBabin
OtherSignificantContributors
AminahNailor,CBAP
AnnieThomas,CPAP
RoseHa,CBAP
BernardAschwanden,PublishingSmarter:LayoutandDesign
IrenaDuniskvaric,PublishingSmarter:Illustrations
LyndaSydney,IgniteWritingServices:CopyEditing
SOSDesignInc.:Cover
VicBhai,TechnicalWriter/Editor,IIBA:TechnicalWriting
AdditionalThanks
IIBA andtheBodyofKnowledgeCommitteewouldliketothankallthose
practitionersofbusinessanalysiswhohaveprovideduswithcommentsand
feedbackovertheyears,aswellasthosewhohaveprovideduswithfeedbackon
thePublicReviewDraft.
Version2.0
ContentforthisreleasewasprimarilydevelopedbytheBodyofKnowledge
Committee:
KevinBrennan,CBAP,OCEB,PMP,VicePresident,ProfessionalDevelopment
477
Version3.0alsoincludescontentdevelopedforpreviousversionsoftheBABOK
Guide.
Contributors
BarbaraA.Carkenord,MBA,CBAP
MaryGorman,CBAP
KathleenB.Hass,PMP
BrendaKerton,MA
ElizabethLarson,CBAP,PMP
RichardLarson,CBAP,PMP
JasonQuestor
LauraPaton,MBA,CBAP,PMP(ProjectManager)
ContentContributors
Thefollowingindividualscontributedadditionalcontentusedinthisrevision:
TonyAlderson
EllenGottesdiener
JamesBaird
MonicaJain
JakeCalabrese,CBAP
CherifaMansouraLiamani,PhD
BruceC.Chadbourne,PgMP,
PMP
KarenLittle
KarenChandler
RichardMartin
CarrolynnChang
GillianMcCleary
RichardFox,CBAP
WilliamB.Murray
RosemaryHossenlopp
AngiePerris,CBAP
PeterGordon,CBAP
DavidWright
LauraMarkey
TheGraphicsTeamdevelopedgraphicsandgraphicsstandards:
CarlGosselin
PatriciaSandino
PerryMcLeod,CBAP,PMP
MaggieYang
AlexandreRomanov
Version2.0alsoincludescontentdevelopedforpreviousversionsoftheBABOK
Guide.
ExpertAdvisoryandReviewGroup
ThefollowingindustryexpertsgenerouslyprovidedIIBAwithadviceand
guidanceonthescopeandcontentofversion2.0oftheBABOK
Guideduring
itsplanninganddevelopment,andhelpedtoshapethecontentanddirectionof
thisrelease.
ScottAmbler
KurtBittner
JamesBaird
RafaelDorantes
478
Contributors
RobinF.Goldsmith,JD
MeilirPageJones
EllenGottesdiener
JamesRobertson
PaulHarmon
SuzanneRobertson
DeanLeffingwell
RonaldG.Ross
GladysS.W.Lam
DavidRuble
KentJ.McDonald
SteveTockey
MarkMcGregor
PractitionerReviewers
SharonM.Aker
TamerElTonsy,CISA,PRINCE2,
ITIL
BettyH.Baker,CBAP
B.D.BarnesPhD,PE,PMP,
CSSBB
JenniferS.Battan,CBAP
SubrahmanyaGuptaBoda
CraigW.Brown,MPM,CSM
CathyBrunsting
SteveErlank,BSc,BCom(Hons)
MargaretGainoEwing,MBA,
CBAP
StephanieGarwood,CBAP
JoeGoss
KarenGras,CBAP
KwabbyGyasi
PeterBurg,PMP
BobHillier,PMP
GregBusby,CBAP
BillieJohnson,CBAP
DianaCagle,MBA,CBAP
DuncanCairns
PeterJohnson,CBAP
HansJonasson,CBAP,PMP
BruceChadbourne,PgMP,PMP
BarbaraKoenig
CarrollynnChang
StevenR.Koss,MBA
PatriciaChappell,CBAP,MBA
DouglasKowalczyk
MarkCheek,PMP
RobertLam,MBA,ISP
HuaiLingCh'ng,CBAP
DesirePurvis(neChu),CBAP
KarenLittle,CBAP
PaulineChung
JoyMatthews
JosephDaSilva
PerryMcLeod,CBAP,PMP
NitzaDovenspike
HollyM.Meyer
JamesDowney,PhD,PMP
MichaelMohammed
479
Thefollowingindividualsparticipatedinthepractitionerreviewofversion2.0,
andprovidedfeedbackusedintherevisionofthePublicReviewDraft:
Contributors
BrianMonson,PMP
JulianSammy
NancyA.Murphy,PMP,CBAP
KeithSarre,CBAP
RichardL.Neighbarger,CSQA,
CSQE
LauraSchleicher
TonyNewport,CBAP
ThomasSlahetka,CBAP
SamiaOsman
WarrenSteger
CeciliaRathwell
LeahSturm,CBAP
SuzannaEtheridgeRawlins,PMP
JamesM.Szuch
HelenRonnenbergh
RobinTucker
ZoyaRoytblat
KrishnaVishwanath
ChristopherRyba
A.S.Umashankar
FredSeip
Thefollowingindividualsalsoservedasreviewteamleads:
CathyBrunsting
RobertLam,MBA,ISP
Version1.6
KathleenBarret(President)
KevinBrennan,CBAP,PMP(VicePresident)
BarbaraCarkenord,MBA,CBAP
MaryGorman,CBAP
KathleenB.Hass,PMP
BrendaKerton
ElizabethLarson,CBAP,PMP
DulceOliveira
ClevePillifant
480
Contributors
ContributorstoVersion1.6
PatriciaMartin
FinnyBarker
RichardMartin
NeilBurton
RosinaMete
KarenChandler
WilliamMurray
RichardFox,CBAP
HarishPathria
RosemaryHossenlopp
KathleenPerson
PeterGordon,CBAP
TonyRice
MonicaJain
JohnSlater
PeterKovaks
MarkTracy
ChrisMatts
JacquelineYoung
LauraMarkey
ReviewersofVersion1.6
SharonAker
GillianMcCleary
BettyH.Baker,CBAP
KellyPiechota
JoBennett
HowardPodeswa
CathyBrunsting
LesliePonder
CarrollynnChang,CBAP
CeciliaRathwell
JenniferRojek
PaulineChung
KeithSarre,CBAP
JosephR.Czarnecki
JessicaGonzalezSolis
JimSubach
MayJim,CBAP
DianeTalbot
DayKnez
KrishnaVishwanath
BarbKoenig
MarilynVogt
RobertLam
ScottWitt
CherifaMansouraLiamani,PhD
481
TonyAlderson
Contributors
482
SummaryofChangesfromBABOK
Guidev2.0
AppendixD:SummaryofChangesfromBABOK
Guidev2.0
Overview
Introduction
BusinessAnalysis
Thedefinitionofthisprimaryconcepthasbeenupdatedtoalignwithother
changesintheBABOK Guide,specificallytheBusinessAnalysisCoreConcept
Model(BACCM).
BusinessAnalysisCoreConceptModel(BACCM)(NEW)
Amodelcomprisedofsixtermsthathaveacommonmeaningtoallbusiness
analysispractitionersandhelpsthemdiscussbusinessanalysisandits
relationshipsincommonterminology.
RequirementsandDesign(NEW)
Thissectiondescribesthedistinctionbetweenandoverlapoftwokeybusiness
analysisconcepts:requirementsanddesign.
483
Version3oftheBABOK Guidehasextensivelyrevised,restructured,and
rewrittenBABOKGuideversion2.0.Thissummaryofchangesprovidesan
overviewofwheretopicscoveredinversion2.0maybefoundinversion3.This
summaryisnotacompletedescriptionofthechanges,andinsomecasesthe
scopeofataskortechniquehaschangedsignificantlyatalowerlevel.
Guidev2.0
KnowledgeAreas
Thefocusandnameofthisknowledgearearemainsthesameforversion3.
Sometaskswererenamed,onenewtaskwasaddedandsomeelementswere
movedaround.Version3continuestoaddressthebusinessanalyst'srolein
definingthebusinessanalysisworkanddefiningtheapproachfortheinitiative.
2.0Task:BusinessAnalysisPlanning
andMonitoring
3.0Task:BusinessAnalysisPlanning
andMonitoring
2.1PlanBusinessAnalysisApproach
PrioritizationandChange
Managementcontentshiftedto3.3
2.2ConductStakeholderAnalysis
3.2PlanStakeholderEngagement
2.3PlanBusinessAnalysisActivities
Communication
3.2PlanStakeholderEngagement
2.5PlanRequirementsManagement
Process
3.4PlanBusinessAnalysisInformation
Management
PrioritizationandChange
Managementcontentshiftedto3.3
2.6ManageBusinessAnalysis
Performance
3.5IdentifyBusinessAnalysis
PerformanceImprovements
Elicitation(Version2.0name)isnow
ElicitationandCollaboration(Version3name)
Thefocusofthisknowledgearearemainssimilarbuthasexpandedtoinclude
communicationtopicsfromversion2.0andthenewtopicofcollaboration.
Inaddition,thesimplercontentfromversion2.0wasexpandedtoprovidemore
guidanceforpractitioners.Also,anexplicitreferencetounplannedelicitationis
madetoacknowledgetheinformalelicitationthatcanoccurduringconversation.
Businessanalysisinformationisalsoreferencedthroughoutratherthanjust
requirementsastheobjectofelicitation.
2.0Task:Elicitation
3.0Task:ElicitationandCollaboration
3.2ConductElicitationActivity
4.2ConductElicitation
484
Guidev2.0
3.4ConfirmElicitationResults
4.3ConfirmElicitationResults
3.3DocumentElicitationResults
4.4CommunicateBusinessAnalysis
Information
n/a
4.5ManageStakeholder
Collaboration
RequirementsManagementandCommunication(Version2.0name)
isnowRequirementsLifeCycleManagement(Version3name)
RequirementsLifeCycleManagementwasdeterminedtobeamoreappropriate
nameforthisknowledgeareainordertoemphasizethatrequirementshavetheir
ownlifecycleandthatrequirementsmanagementisanongoingactivity.
2.0Task:RequirementsManagement
andCommunication
3.0Task:RequirementsLifeCycle
Management
4.1ManageSolutionScopeand
Requirements
5.1TraceRequirements
5.5ApproveRequirements
SolutionScopeManagementis
addressedwithin5.1Trace
Requirements.ConflictandIssue
ManagementandPresenting
RequirementsforRevieware
addressedin5.5Approve
Requirements.
4.2ManageRequirementsTraceability
5.1TraceRequirements
RelationshipsandConfiguration
Managementareaddressedin5.1
TraceRequirements.ImpactAnalysisis
addressedin5.4AssessRequirements
Changes.
5.4AssessRequirementsChanges
4.3MaintainRequirementsforReuse
5.2MaintainRequirements
4.4PrepareRequirementsPackage
Information
4.5CommunicateRequirements
Information
485
CommunicationactivitieswereshiftedfromthisknowledgeareatotheElicitation
andCollaborationknowledgearea.
Guidev2.0
5.3PrioritizeRequirements
Movedfrom6.1Prioritize
Requirements(v2.0)
N/A
5.5ApproveRequirements
Newtaskwhichincludestheconcepts
fromthev2ElementsConflictand
IssueManagement,Presenting
RequirementsforReviewand
Approvalfromthev2TaskManage
SolutionScopeandRequirements.
EnterpriseAnalysis(Version2.0name)isnow
StrategyAnalysis(Version3name)
Thisknowledgeareahastakenonanewnameandexpandedpurpose.
EnterpriseAnalysisfocusedontheupfrontworkthebusinessanalystconducted
atthestartofaproject.StrategyAnalysisisbroaderandincludestheworkthe
businessanalystconductstounderstandthecurrentstateofthebusiness,to
definethedesiredfuturestate,todevelopachangestrategytoachievethe
desiredbusinessoutcomesandtoassesstherisksinherentinthechangestrategy.
2.0Task:EnterpriseAnalysis
3.0Task:StrategyAnalysis
5.1DefineBusinessNeed
6.1AnalyzeCurrentState,6.2Define
FutureState
BusinessProblemorOpportunityis
addressedin6.1AnalyzeCurrent
State.BusinessGoalsandObjectives
andDesiredOutcomeareaddressedin
6.2DefineFutureState.
5.2AssessCapabilityGaps
CurrentCapabilityAnalysisis
addressedin6.1AnalyzeCurrent
State.AssessmentofNewCapability
RequirementsandAssumptionsare
addressedin6.2DefineFutureState.
5.3DetermineSolutionApproach
AlternativeGenerationand
AssumptionsandConstraintsare
addressedin6.2DefineFutureState.
RankingandSelectionofApproaches
isaddressedin7.5DefineDesign
Optionsand7.6AnalyzePotential
ValueandRecommendSolution.
486
6.1AnalyzeCurrentState,6.2Define
FutureState,6.4DefineChange
Strategy
DefineChangeStrategyincludesa
GapAnalysiswhichwasnotexplicitly
identifiedin5.2AssessCapability
Gapsbutwastheintentofthetask.
6.2DefineFutureState,7.5Define
DesignOptions(v3Requirements
AnalysisandDesignDefinition
knowledgearea),7.6Analyze
PotentialValueandRecommend
Solution(v3RequirementsAnalysis
andDesignDefinitionknowledge
area)
Guidev2.0
5.4DefineSolutionScope
6.4DefineChangeStrategy
5.5DefineBusinessCase
7.6AnalyzePotentialValueand
RecommendSolution(Requirements
AnalysisandDesignDefinition
knowledgearea),10.7BusinessCases
(Technique)
RequirementsAnalysis(Version2.0name)isnow
RequirementsAnalysisandDesignDefinition(Version3name)
Thisknowledgeareawasrenamedtoaccommodateexpandedcontent.
2.0Task:RequirementsAnalysis
3.0Task:RequirementsAnalysisand
DesignDefinition
6.1PrioritizeRequirements
5.3PrioritizeRequirements(v3
knowledgearea)
6.2OrganizeRequirements
7.4DefineRequirementsArchitecture
6.3SpecifyandModelRequirements
7.1SpecifyandModelRequirements
6.4DefineAssumptionsand
Constraints
AssumptionsandBusinessConstraints
areaddressedin6.2DefineFuture
State.TechnicalConstraintsare
addressedin7.6AnalyzePotential
ValueandRecommendSolution
6.2DefineFutureState(v3Strategy
Analysisknowledgearea)and7.6
RecommendSolution
6.5VerifyRequirements
7.2VerifyRequirements
6.6ValidateRequirements
7.3ValidateRequirements
487
Version3nowaddressesthetopicofdesignandexplainswherebusinessanalysts
haveinvolvementwithdesignactivities.RequirementsAnalysisandDesign
Definitionalsoincorporatessomeofthetasksfromtheversion2.0Solution
AssessmentandValidation.Activitiesinvolvedwiththeproposedsolution
assessmentbeforeanyconstructionofasolutionwhetherinpartorinwhole
arenowpartofthisRequirementsAnalysisandDesignDefinition.
N/A
Guidev2.0
7.5DefineDesignOptions
NewtaskinRequirementsAnalysis
andDesignDefinitionwhich
incorporates5.3DetermineSolution
Approach(v2.0EnterpriseAnalysis
knowledgearea),7.1AssessProposed
Solution(v2.0SolutionAssessment
andValidationknowledgearea),and
7.2AllocateRequirements(v2.0
SolutionAssessmentandValidation
knowledgearea)
N/A
7.6AnalyzePotentialValueand
RecommendSolution
NewtaskinRequirementsAnalysis
andDesignDefinitionwhich
incorporates5.5DefineBusinessCase
(v2.0EnterpriseAnalysisknowledge
area)and7.1AssessProposed
Solution(v2.0SolutionAssessment
andValidationknowledgearea)
SolutionAssessmentandValidation(Version2.0name)isnow
SolutionEvaluation(Version3name)
Theversion3knowledgeareaprovideslessfocusonimplementingasolutionand
morefocusonevaluatingsolutions.
Theknowledgeareaincludescontentonevaluatingwhethervalueisbeing
deliveredbyasolutionanddiscussesthebusinessanalyst'sroleinassessingwhat
ishinderinganorganizationfromreceivingfullvaluefromasolution.
2.0Task:SolutionAssessmentand
Validation
3.0Task:SolutionEvaluation
7.1AssessProposedSolution
7.5DefineDesignOptionsand7.6
RecommendSolution(v3
Definitionknowledgearea)
7.2AllocateRequirements
7.5DefineDesignOptions(v3
Definitionknowledgearea)
7.3AssessOrganizationalReadiness
6.4DefineChangeStrategy(v3
StrategyAnalysisknowledgearea)
488
Guidev2.0
7.4DefineTransitionRequirements
6.4DefineChangeStrategy(v3
StrategyAnalysisknowledgearea),
2.3RequirementsClassification
Schema
7.5ValidateSolution
8.3AssessSolutionLimitations
7.6EvaluateSolutionPerformance
N/A
8.5RecommendActionstoIncrease
SolutionValue
8.1MeasureSolutionPerformance
Newtaskthatincorporatesdefining
solutionperformancemeasuresand
measuringtheactualperformance
N/A
8.2AnalyzePerformanceMeasures
N/A
8.4AssessEnterpriseLimitations
Newtaskthatidentifieswhat,external
tothesolution,maybepreventingit
fromdeliveringitsexpectedvalue
NEWConceptualThinking
NEWVisualThinking
Ethicsremoved
PersonalOrganizationrenamedandexpandedOrganizationandTime
Management
NEWPersonalAccountability
NEWAdaptability
BusinessKnowledge
BusinessPrinciplesandPracticesrenamedBusinessAcumen
NEWMethodologyKnowledge
489
Newtaskthatfocusesoncomparing
theactualvalue(solution
performance)againsttheexpected
value
Guidev2.0
CommunicationSkills
OralCommunicationsrenamedVerbalCommunication
TeachingmovedtoInteractionSkills
NEWNonverbalCommunication
NEWListening
InteractionSkills
FacilitationandNegotiationsplitcompetenciesandrenamedFacilitation
NEWNegotiationandConflictResolution
SoftwareApplications(Version2.0name)isnow
ToolsandTechnology(Version3name)
GeneralPurposeApplicationsrenamedOfficeProductivityToolsand
Technology
SpecializedApplicationsrenamedBusinessAnalysisToolsandTechnology
NEWCommunicationToolsandTechnology
Techniques
NameorFocusChange
BenchmarkingandMarketAnalysis(v2.0Benchmarking)
DataDictionary(v2.0DataDictionaryandGlossary)
Glossary(v2.0DataDictionaryandGlossary)
Reviews(v2.0StructuredWalkthrough)
RiskAnalysisandManagement(v2.0RiskAnalysis)
UseCasesandScenarios(v2.0ScenariosandUseCases)
UserStories
Workshops(v2.0RequirementsWorkshop)
NewTechniques
BacklogManagement
BalancedScorecard
490
Guidev2.0
BusinessCase
BusinessModelCanvas
CollaborativeGames
ConceptModelling
DataMining
DecisionModelling
FinancialAnalysis
MindMapping
Prioritization
ProcessAnalysis
Perspectives(NEW)
techniquesspecifictothecontextoftheinitiative.
Mostinitiativesarelikelytoengageoneormoreperspectives.Theperspectives
includedintheBABOKGuideare:
Agile,
BusinessIntelligence,
InformationTechnology,
BusinessArchitecture,and
BusinessProcessManagement.
Guiderepresentsomeofthemorecommonviewsofbusinessanalysisatthetime
ofwriting.
Perspectivesarenotmutuallyexclusive,inthatagiveninitiativemightemploy
morethanoneperspective.
491
492
Guidev2.0
Index
AcceptanceandEvaluationCriteria217
AccesstoInformation,Improve154
Adaptability197
Adaptabilityandflexibility376
Adaptive400
AgileExtensiontotheBABOK368,370,
372,375,376,377
AgilePerspective368
AgileTeamLeader372
Alternatives,Define262
Analyze
CurrentState100,103
PerformanceMeasures164,170
PotentialValueandRecommend
Solution134,157
ApproveRequirements76,95
Architecture
Business408
Requirements134,148
Solution385
Assess
AnalyticalThinkingandProblem
Solving188
Analytics,Prescriptive386
EnterpriseLimitations164,177
RequirementsChanges76,91
Risks100,120
SolutionLimitations164,173
Assumptions,Risks,andConstraints235
AvoidWaste184
BacklogManagement220
BusinessAcumen199
BalancedScorecard223
BusinessAnalysisCoreConcept
Model11,12,22,54,76,101,134,
164
BehaviouralCharacteristics194
BenchmarkingandMarketAnalysis226
Brainstorming227
493
BusinessAnalysisInformation,
Communicate54,67
Index
BusinessAnalysisKeyConcepts3,11
BusinessKnowledgeModels267
BusinessAnalysisPerformance
Assessment29
BusinessModelCanvas236
BusinessOutcomes284
BusinessAnalysisPerformance
Improvements,Identify22,47
BusinessPolicies29
BusinessAnalysisPlanningandMonitoring4
BusinessProcessCoverage384
BusinessAnalysisPlanning
andMonitoring21
BusinessAnalysisToolsandTechnology213
BusinessAnalyticsRequirements385
BusinessArchitecturePerspective408
BusinessProcess284
BusinessProcessManagement
Perspective424
BusinessProcessModelandNotation
(BPMN)319
BusinessCapabilityAnalysis230
BusinessProcessReengineering426
BusinessCases29,234
BusinessRequirements16
BusinessIntelligencePerspective381
BusinessRulesAnalysis240
BusinessKnowledge199
BusinessUnit284
Capabilities,Identify154,184
Component,Solution284
Capability138
ConceptModelling245
CauseEffectdiagrams285
ConceptualDataModel256
Change22,55,77,101,135,165
ConceptualThinking192
ChangeStrategy,Define100,124
ConductElicitation54,61
Collaboration
ConfirmElicitationResults54,65
Communication376
Games243
Group70
KnowledgeManagementTools212
ManageStakeholders54,71
ConflictResolution210
Constraints235
ConstraintsontheSolution160
Context22,55,77,101,135,165
CollaborationandKnowledgeManagement
Tools212
Continuousimprovement376
CollaborativeGames243
CreativeThinking188
Collection,Data335
Credible298
CommunicateBusinessAnalysis
Information54,67
CurrentState,Analyze100,103
Communication
Skills203
Tools212
Verbal204
Written205
CommunicationandCollaboration376
Communication,NonVerbal205
Componentdiagram285
494
Costandtimeestimates39
Index
Data
DecisionTrees285
Collection335
ConceptualModel256
Dictionary247
FlowDiagrams250,319,391
Mining253
Modelling256
Structured387
Unstructured387
Decisions267,285
Decomposition,Functional283
Define
Alternatives262
ChangeStrategy100,124
DesignOptions152
FutureState100,110
ProblemStatement262
RequirementsArchitecture134,148
SolutionOptions134
DataDictionary385
DataModel
Logical257
Physical257
Demanddriven387
DependenciesbetweenRequirements160
Logical391
Physical391
DescriptiveAnalytics386
Designing284,424
Decision
Diagrams
Analysis261
Criteria262
ModelandNotation285
Modelling265
Models384,391
DataFlow250,319,391
UseCase285
Dictionary,Data247,385
Discovery,Substantial426
DecisionMaking189
DocumentAnalysis30,269
DecisionNodes263
Documentation,Informal69
DecisionPoint319
DomainSubjectMatterExpert17
Efficiencies,Increase154
Ethics194
Elements158
EvaluateAlternatives262
ElicitationandCollaboration4,53
Evaluation,Solution5,163
Elicitation,Preparefor54,56
ExecutionandMonitoring424
EliminateRedundancy184
ExpectedBenefits276
EndUser17
Experimentation403
EscalationMatrix295
Experiments61
EstimatingandForecasting284
ExpertJudgment29,273
Estimation271
ExternalStakeholders372
Facilitation207
FinancialAnalysis274
Facilitator364
FinancialAnalysisandValueAssessment235
Feasibility235
Flexibilityandadaptability376
Feasible143
Flowdiagrams285
Financial238
Flowcharts319
495
Dependencies88
DataModels
Index
FocusGroups279
Frequency168
ForecastingandEstimating284
Functional
FormStudyPrototype324
Decomposition283
Prototype325
Requirements16
FormalDocumentation69
FormalWalkthrough327
K
L
FutureState,Define100,110
Glossary286
Guide416
GroupCollaboration70
IDEF319
InformalWalkthrough327
IdentifyAdditionalCapabilities154,184
InformationTechnologyPerspective394
IdentifyBusinessAnalysisPerformance
Improvements22,47
Information,ImproveAccessto154
IGOE319
Input,Guide,Output,Enabler(IGOE)
Diagrams319
Impact,Solution394
Inputs142,157
ImplementationSubjectMatterExpert17
IntegratedDEFinition(IDEF)notation319
ImplementationTeam428
InteractionSkills207
ImproveAccesstoInformation154
InterfaceAnalysis287
IncreaseEfficiencies154
Interview290
IndustryKnowledge200
Interview,Unstructured290
IndustryStructure107
Interviews290
InfluencingandLeadership208
Investigation402
InformalDocumentation69
ItemTracking294
KeyConcepts4
Kinesthetic190
KeyPerformanceIndicators297
Knowledge,Industry200
KeyTerms11,14
KPIs297
LeadershipandInfluencing208
Localization303
Learning190
LogicalDataModel257,385
LessonsLearned296
LogicalDataModels391
Listening206
MaintainRequirements76,83
Matrices138
Maintainability303
MatrixModel310
ManageStakeholderCollaboration54,71
MeasureSolutionPerformance164,166
Management,RiskAnalysis329
Marketoriented309
496
Index
Measures
Model
Qualitative168
Quantitative168
Conceptual256
LogicalData385
MeasuringandManaging284
Modelling348
MethodologyKnowledge202
MetricsandKeyPerformanceIndicators
(KPIs)297
MindMapping299
MindMaps285
Mining,Data253
Conceptual245
Data256
Decision265
Process318
Scope338
Workflow325
Models,Decision384,391
MonitoringandExecution424
Need22,55,77,101,135,165
NonFunctionalRequirements16
NegotiationandConflictResolution210
NonFunctionalRequirementsAnalysis302
NetBenefits276
NonVerbalCommunication205
Observation305
Options,Define152
OfficeProductivityToolsand
Technology212
Organization
History273
Knowledge201
OnionDiagram345
Operationalimprovement,Facilitate395
OrganizationandTimeManagement196
OperationalReleases163
Organizational
Change184
Maturity394
Modelling308
Support49
Unit310
OperationalSupport18
OpportunityCost185
Optimization284
Optimizing424
PaperPrototyping325
PhysicalDataModels391
ParametricEstimation272
PilotorBetareleases163
PerformanceAssessment,Business
Analysis29
PlanBusinessAnalysis
PerformanceEfficiency303
Approach21,24
Governance21,37
InformationManagement21,42
PerformanceImprovement,Business
Analysis22,47
PlanStakeholderEngagement21,31
PerformanceMeasures,Analyze164,170
PolicyCompliance89
PersonalAccountability195
PoliticalandRegulatoryEnvironment107
Perspectives367
PERT272
PotentialValueandRecommendSolution,
Analyze134,157
PhysicalDataModel257
Predictive254,400
497
Index
PredictiveAnalytics386
ProcessModeller429
PrepareforElicitation54,56
ProcessModelling318
PrescriptiveAnalytics386
ProcessOwner428
PresentationPrograms212
ProcessParticipants428
PresentationSoftware212
ProductivityToolsandTechnology212
Presentations69
ProjectManager18,428
Prioritization311
ProofofConcept324
PrioritizeRequirements76,86
ProofofPrinciple324
Prioritized143
ProofsofConcept163
Priority39,45,294
Prototype
ProactiveAnalysis335
ProblemSolving191
ProblemStatementDefinition335
ProblemStatement,Define262
Prototypes163
ProcessAnalysis314
Evolutionary324
Throwaway324
ProcessAnalyst/Designer429
Functional324,325
Usability325
Visual325
ProcessArchitect428
Prototyping323,325
ProcessBenchmarking426
Prototyping,Paper325
QualitativeMeasures168
QuantitativeMeasures168
Qualityofservicerequirements16
Questionnaire350
Quantifiable298
ReactiveAnalysis335
Review
RecommendActionstoIncreaseSolution
Value164,182
SingleIssue327
Technical327
Regulator18,428
Reviews326
RegulatoryandPoliticalEnvironment107
Risk88
RegulatoryCompliance89
RiskAnalysisandManagement329
Definition5,133
Riskaversion122
RequirementsandDesigns11,19
Riskseeking122
RequirementsArchitecture,Define134,148
RolesandPermissionsMatrix333
RequirementsClassificationSchema11,16
ROM272
RequirementsLifeCycleManagement4,75
RootCauseAnalysis335
Requirements,Functional16
RoughOrderofMagnitude(ROM)272
Scalability303
Scenarios356
Scenariodriven408
ScopeModelling338
498
Risks39,46,235
Index
StakeholderList,Map,orPersonas344
ScopeofControl338
StakeholderMap344
ScopeofNeed338
StakeholderMatrix345
ScopeofSolution338
StakeholderPersonas344
SeparationofConcerns408
StakeholderRequirements16
SequenceDiagrams341
Stakeholders,External372
ServiceLevelAgreements303
State348
Simulation325
StateModelling348
Simulations403
StateTransitionDiagrams285
SingleIssueReview327
Storyboarding325
SIPOC319
StrategyAnalysis4,99
Solution22,55,77,101,135,165
Structured290
SolutionArchitecture385
StructuredData387
SolutionComponent284
StructuredInterview290
SolutionEvaluation5,163
SubjectMatterExpert
SolutionImpact394
Domain17
Implementation17
SolutionKnowledge202
SolutionOptions,Define134
SubstantialDiscovery426
SolutionRequirements16
SunkCost185
SolutionValue,RecommendActionsto
Increase164,182
Supplier18
SpecifyandModelRequirements134,136
Suppliers107
Sponsor18,364
Supplydriven387
Stakeholder22,55,77,101,135,165
Survey350
StakeholderEngagementApproach29
SurveyorQuestionnaire350
StakeholderEngagementPlan21,31
SWOTAnalysis353
StakeholderList344
SystemsThinking191
Teaching210
Timeliness49
TeamImplementation428
Timing168
TeamReview327
Teamwork209
ToolsandTechnology,Productivity212
TechnicalReview327
TotalAnnualbenefits276
Testable143
TotalCosts276
Tester19
TraceRequirements76,79
Thinking,Visual193
TransformationRules385
TimeManagementandOrganization196
TransitionRequirements16
TimeSensitivity88
TreeDiagrams285
Timelines281
Trustworthiness195
499
SupplierConsumer340
ScopeofChange338
Index
Trustworthy298
TrustworthyandCredible298
UnstructuredData387
UseCaseDiagrams285
UnstructuredInterview290
UseCases356
Usability303
UseCasesandScenarios356
UsabilityPrototype325
UserStories359
ValidateRequirements134,144
VerbalCommunication204
Value22,55,77,101,135,165
VerifyRequirements134,141
ValueAssessmentandFinancialAnalysis235
Visual190
ValueStreamAnalysis319
VisualPrototype325
ValueStreamMapping319
VisualThinking193
VendorAssessment361
VSM319
Walkthrough,Informal327
WordProcessingPrograms212
WorkflowModelling325
Workshops363
WrittenCommunication205
500
AboutIIBA
IIBACertifications
InternationalInstituteofBusinessAnalysis(IIBA )isthe
independentnonprofitprofessionalassociationformedin2003
toservethegrowingfieldofbusinessanalysis.
IIBAcertificationsarethegloballyrecognizedstandardfor
businessanalysis.
Manycertificationsinthebusinessanalysisspacecoverthecore
skillsofrequirementsengineeringandmanagement,butIIBA
certificationsgobeyondthosebasicstodeliveruniquevalue.
Asthevoiceofthebusinessanalysiscommunity,IIBAsupports
therecognitionoftheprofession,andworkstomaintain
standardsforthepracticeandcertification.Throughaglobal
network,IIBAconnectsMembers,Chapters,Corporationsand
Partnersaroundtheworldtoadvancethebusinessanalysis
professionbyunitingacommunityofprofessionalstocreate
betterbusinessoutcomes.
IIBAprogramsaddresstheneedforbusinessanalysis
professionalstolinkstrategytoexecution,ensurelongterm
benefitsarerealizedfromachange,andintegrateinnovation
andprocessimprovementwithtechnologychange.Thismeans
thatprofessionalscertifiedbyIIBAareabletocontributetothe
successoftheentirebusiness,notjusthelpaprojectdeliveron
time,onscope,andonbudget.
Forindividualsworkinginabroadrangeofrolesbusiness
analysis,systemsanalysis,requirementsanalysis,project
management,consulting,processimprovementandmore
IIBAprovidestheresourcestohelpyouenhanceyourcareerand
advanceyourcareerpath.
IIBAcertificationoffersmanybenefits,including:
Establishmentandimplementationofbestpracticesin
businessanalysisbyindividualsacknowledgedas
knowledgeableandskilled.
AsanIIBAMember,businessanalysisprofessionalsgain
extensiveaccesstoinsight,knowledgeandsupport.IIBAcan
helpyoucreateaprofessionalcareerpaththroughtheabilityto
growavarietyofskills.Memberbenefitsinclude:
Morereliable,higherqualityresultsproducedwith
increasedefficiencyandconsistency.
Recognitionasabusinessanalysisprofessionalto
colleagues,clientsandbusinessstakeholders.
Accesstoessentialtoolsandknowledge,including
webinars,quicktips,bestpractices,onlinelibraryand
newsletters.
Professionaldevelopmentandrecognitionfor
experiencedbusinessanalysisprofessionals.
Connectionstoaglobalnetworkoflearningand
collaboration.
Demonstratedcommitmenttothefieldofbusiness
analysis,whichisincreasinglyrecognizedasvitaltoall
areasofbusiness.
Opportunitytoengageacommunityofprofessionals
andgrowatalocallevelthroughyourIIBAChapter.
Supportinachievingsuccess,recognitionand
opportunityinyourcareer.
FreeaccesstoPDFandeBookeditionsoftheBABOK
Guide.
DiscountedfeeforIIBAcertificationexam.
Youcangainevengreatervaluethroughparticipationinyour
localIIBAChapter.ByjoiningaChapter,youcanalsoaccess
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toparticipateinevents,studygroupsandgeneralinterest
groups.
TobecomeanIIBAmember,visitiiba.org/Membership.Tofind
yourlocalChapter,visitiiba.org/Chapter.
502
STRATEGY
REQUIREMENTS
SOLUTIONS
AGuidetotheBusinessAnalysisBodyofKnowledge
Thisthoroughlyrevisedandupdatedversionincludes:
(BABOK Guide)istheonlygloballyrecognized
standardofpracticeforbusinessanalysis.Developed
througharigorousconsensusdrivenstandards
process,theBABOK Guideincorporatesthecollective
Aconceptmodelthatuni esideasandterminology
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Restructuredknowledgeareastosupportbusiness
wisdomandexperienceofexpertsinthe eldfrom
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majorbusinesstransformations.
Previouseditionshaveguidedhundredsofthousands
Fiveperspectivescoveringthemostprominent
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Coverageofnewbusinessanalysistechniquesthat
Thislatestversionoftheguideextendsitsscope
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Updatedandrevisedcontentineveryknowledge
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Whetheryouareconsideringstartingacareer
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