Manual for the Design and Implementation of Recordkeeping Systems (dirks)

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Stages in hierarchical analysis
Sequential analysis Overview What is sequential analysis? Stages in sequential analysis Overview
Stages in sequential analysis

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Stages in hierarchical analysis

The following table outlines one recommended approach to identifying your functions, activities and transactions. Each stage may be revisited many times as you refine your understanding.

Stage	Description
1	Use the sources to identify broad statements of your department/section’s purpose, goals and strategies. Look at the organization’s charter, mission and objectives to gain an overview. Consider what it is that makes the department/section unique.
2	Conceptualize the broad functions of the department/section and write down some basic definitions about what each function covers. Check that they do not overlap in scope and test these against the organizational structure to ensure all aspects of the department/section’s business are covered.
3	Use the sources to identify the component activities within each function and write down some basic definitions about what each activity covers. Check that they do not overlap in scope.
4	Identify the transactions associated with each activity. This can be done through written sources, workshops and interviews or by analyzing work processes – examining in detail the process involved in carrying out work. Identifying the transactions will assist in testing and finalizing the boundaries of activities.
5	Test your preliminary analysis in interviews and workshops with relevant staff members. Revisit the top-level functions and refine them and their scope notes in the light of subsequent analysis.
6	Revisit and refine the remaining levels of the hierarchy.

Although the hierarchical analysis involves a ‘top-down’ approach, it is not essential that you finalize the highest level of the hierarchy before moving on to its lower levels. Indeed, identifying transactions will help define the boundaries of activities and therefore the scope of functions. The examination of sources will often provide information that is relevant to a number of levels and you should expect to revisit each level several times in order to refine and enhance the model.
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Sequential analysis

Overview

What is sequential analysis?

Stages in sequential analysis

Overview

This section describes the other type of analysis carried out to analyze your business activity - the sequential analysis.

What is sequential analysis?

Functions also consist of business processes that are responses to a business event. An event is 'a logical unit of work that must be completed as a whole. An event is triggered by a discrete input and is completed when the process has responded with appropriate outputs.' [6]

Sequential analysis is a 'bottom-up' approach - at a smaller scale than the hierarchical analysis. It involves identifying the sequence of steps or transactions and any variations that are currently undertaken to respond to a business event and achieve an outcome within the context of an organization's functions, systems and rules. This may involve identifying the linkages and dependencies between processes and it workplace and time specific. [7]

Sequential analysis should be carried out after, or as part of the hierarchical analysis, and the processes mapped to the hierarchy. The advantage of starting with hierarchical analysis is that it gives you the organizational context in which the activities and processes are taking place. Processes may straddle across a number of different functions or may be contained within one or two functions.
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Stages in sequential analysis

Considering the boundaries of your project and the tasks on which your analysis will be focused, you need to begin by investigating the process to find out:

the standard sequence of steps within the process. Each transaction should be a separate step
the inputs or dependencies from other systems (such as the need for authorization, records etc)
critical actions which need to be completed before steps can occur
the people managing the process and what accountabilities they have
where the process is being carried out
what rules affect the process
what records are currently being generated as a by-product of transactions and why, and
any needs for generating records that are not currently being created.

Not all processes are step by step. There may be different paths contingent on certain decisions or actions and these should also be examined.

You can identify at these by:

observing work flows
reviewing regulatory and other requirements that impact on the process
reviewing local operational manuals, business rules and organizational policies and related documentation that impact on the process, and/or
interviewing staff members involved in performing the processes and managers who have accountabilities.

Example: Sequential analysis of training authorization process

This is the sequence of steps in a process to authorize training for a staff member:

a staff member expresses interest in a training course
a training application form is completed by the applicant
the form is authorized by the supervisor along with details of the course applied for
the form is sent to the Human Resource Manager who checks for conformity with internal training policy and records details in database
the form is authorized by the Human Resource Manager and recorded in their training database
notice of the authorization is confirmed to the supervisor and applicant.

A variation to this process may be that the form is rejected and notice is given to the supervisor and applicant of the rejection. Another possible variation may be an appeal about the rejection.

A related process would be the process of enrolling and paying for a training course that has been approved. The process of enrolling is contingent on the authorization process.

Like hierarchical modeling, you should expect to revisit your business process models several times in order to refine and enhance them. You should document your analysis and seek validation of the information from participants in the process.

If you find problems or issues with your processes during sequential analysis you should note them and consider whether you want to redesign them in Step F.