Documenting Step B

It is at your discretion regarding how you wish to document the business analysis and how detailed this documentation needs to be.

Overview
Business classification scheme
Document details regarding functions
Assign terms to functions and activities
Describe functions and activities
Assign dates to functions and activities
Link stakeholders
Validate schemes
Keep your analysis up to date

Overview

Decisions may be made based on the aims of your project.

Example: Check existing requirements
State Records has certain requirements regarding the structure of a retention and disposal authority. The hierarchical business classification scheme described below provides the basis for this structure. Therefore, if you project is to create a retention and disposal authority you will save time if you document your Step B analysis in this way.

Example: Merging with Keyword AAA
Keyword AAA is an alphabetic representation of a hierarchical classification scheme customised for records titling. If the aim of your project is to create a thesaurus to merge with Keyword AAA, you should consider documenting your analysis in Step B using the hierarchical business classification scheme described below.

Documentation should be kept on functions, activities, transactions, processes and sources analysed. This section gives further advice on what should be documented.

Business classification scheme

The business classification scheme is a hierarchy of functions, activities and transactions. A business classification scheme helps you to make decisions about the management of records at an aggregate level.

The layout of the business classification scheme can make it easier to see if there are any inconsistencies or overlaps in your analysis. You can check that:

the combined functions account for all of the business the organisation carries out
each function and activity and transaction is described using meaningful terms
each function and activity has a definition and date ranges if they can be found (and if they are relevant to the project)
the boundaries of each function mutually excludes the other functions, and
the boundaries of each activity mutually excludes the other activities.

Example of a business classification scheme

An example of one way you might represent a hierarchical business classification scheme is shown below. In this example, the definitions have been turned into scope notes in preparation for a thesaurus. The organisation is a fictitious one that monitors food production.

Function	Activity	Transaction
Quality Compliance Date range: 1998 - Description: The function of monitoring the observance of quality assurance standards and licence conditions by food producers. Includes managing complaints, inspecting facilities and taking enforcement action where the health and safety of consumers is at risk.	Complaints management Date range: 1998 - Description: The activity of receiving and responding to complaints. Includes ensuring that any necessary corrective action is taken.	Receive complaints Assess complaints and possible solutions Refer complaints to other programs Respond to complainants
	Inspection Date range: 1998 -Description: The activity of inspecting food producer production methods and facilities. Inspections may be in response to complaints or as a part of licence allocation or monitoring processes. Includes reporting on the inspection, issuing notices, re-inspection and referrals to other Departments for action.	Inspect and assess food production processes and facility Issue Direction or Improvement Notices where applicable Report on inspection Reinspect and assess where notices have been issued Report on re-inspection Refer breaches to other Departments
	Investigation Date range: 1998 -Description: The activity of investigating and reporting on breaches of quality standards and licence conditions with regarding to food production methods and facilities. Includes interviewing and observing production and facilities, reporting and referrals.	Interview food production staff Observe food production and facilities Refer breaches to other Departments where further action is required Report to the Quality Food Board Inform producer of results of investigation Include summary of breaches in annual report

Document details regarding functions

Aside from your business classification scheme, it can be useful to record your more detailed findings regarding the functions. This information can be picked up in later steps or projects. For example, you could record information on:

legislation or other sources that underpin the functions and activities
risks associated with each function and activities
stakeholders that have an interest in the function or activity
business sections that are responsible for or carry out aspects of the function, and
changes to the function through time (if found), and
more details regarding the dates of functions (if found).

In addition, you should keep documentation of the information collected in your sequential analysis. Diagrams, known as 'logical models' are often a suitable way to record the analysis of business process information[9]. Textual information should also be recorded about processes, such as the name of the process, transactions within it, records created or that need to be created as part of transactions, responsibilities, recommendations regarding changes and what functions and activities they have been mapped to. Dates when the processes were analysed should be recorded.

Assign terms to functions and activities

As part of your analysis it will be necessary to choose terms that can provide labels for the functions and activities you have identified. The terms chosen should reflect the terms used in your organisation or industry and in current files.

At this stage the terms do not need to be too controlled - they simply act as a 'handle' on the concepts. They can be phrases, for example, rather than one or two terms. If you are going to develop a keyword thesaurus you can refine them at a later stage.

Tip: Using controlled vocabulary
Some people do set up a controlled vocabulary in their business classification scheme as it enables them to clarify the document and make it suitable for viewing by organisational staff. If you have an existing thesaurus or retention and disposal authority, you may decide to use that terminology in your business classification scheme. If you are going to develop a thesaurus anyway, you may find it useful to include the controlled vocabulary in the business classification scheme. You will need to consider how the terms used 'fit' with Keyword AAA terms and should refer to Guidelines for Developing and Implementing a Keyword Thesaurus for more information.

Tip: Terms that reflect administrative areas
If you choose terms that relate to administrative areas you may have difficulty in convincing staff of the differences between the function and the administrative area. If the terms are also in the thesaurus, staff will need to be instructed in their use or they tend to assume the terms refer to the administrative area.

Describe functions and activities

You will also need to include descriptions for functions and activities in the business classification scheme. The main reason to define the boundaries or breadth of each function or activity is so you can ensure that their meaning is understood, that entities at the same level do not overlap and that the relationship between entities is clear.

The definition of the function or activity will start as quite tentative statements or even dot points, and then can be revised as you refine your business classification scheme. If you are intending to compile a thesaurus these definitions can be turned into scope notes.

Assign dates to functions and activities

If your project involves creating a disposal authority, it is valuable to note down details of changes in the ways functions and activities are performed when you come across them. Sources for this information should also be noted in case you wish to go back and check the information.

Date ranges are particularly valuable for compiling retention and disposal authorities. Information about changes over time will help you to assess whether additional disposal classes and actions are required in the retention and disposal authority to reflect the changes.

Tip: Note changes
If you suspect or know changes have taken place but you cannot find authoritative sources to support this, note the changes and inform State Records when you submit your retention and disposal authority.

Link stakeholders

As part of analysing the broad legal and social context in the preliminary investigation (Step A), you would have identified organisational stakeholders and you may come across more during this step.

Example: Identify stakeholders

external stakeholders that participate in the work of the organisation, like individual clients, client organisations or other NSW public offices will be obvious when you analyse activities and transactions
particular areas or individuals in the organisation may also have an interest in the function. They will include those areas responsible for carrying out the function and activities, but may include other areas and individuals.

Stakeholders in processes will include those involved and those managing the processes or those requiring the process to take place in order to complete other processes.

These stakeholders should be linked to the relevant function or activity as their interests may be a source of recordkeeping requirements in Step C: Identification of recordkeeping requirements.

Validate schemes

It is important that you consult widely during your functional and sequential analysis of business activity. It is also important that you validate what you have found and documented in your business classification scheme. This will involve asking questions of managers and operational staff to confirm that your analysis and representation is accurate and complete. It is essential that your models are meaningful to the organisation as they have the potential to inform key recordkeeping activities (including intellectual control and appraisal).

The hierarchical and sequential analysis and business classification scheme should also be validated with senior management. You may, for example, compile a report on your findings to show senior management which can also serve as a progress report on your project.

Keep your analysis up to date

Analysis of business activity can provide an effective and powerful tool for managing records. To ensure that your analysis and business classification scheme remains relevant to your needs it is prudent to periodically review its currency, particularly when there is:

administrative change within the organisation
a government election, or
a change in organisational responsibilities.

Footnotes

[9] Such models are shown in Jeffrey L. Whitten and Lonnie D. Bentley, Systems Analysis and Design Methods, 4th ed, McGraw-Hill, Boston, 1998, 122

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