Analysis Phase – Analyze the Business

During this phase, information gathered during the requirements phase is compared, reviewed, prioritized, sequenced, and identified for change. The primary Analysis Phase objective is to determine the probability that specifications addressed in each requirement satisfy stakeholder needs, expectations, and constraints. Functions that work in a target process are sequenced and prioritized, and those that don't work are identified for change. Additional information about process performance should be gathered as part of analysis to quantify and verify existing and potential issues and problems.

During analysis, requirements, existing process documentation, issues, risks, and process failures associated with automating manual processes will be analyzed, and decisions made about whether support process functions may require re-designing. In making the decision as to whether process changes are cost effective, estimates should be made of the savings in resource utilization, benefits in time savings, and budget allocation necessary to run the new process. These estimates may include a comparison of the level of effort, cost, constraints, and issues between the "As-Is" process model versus estimates in the "To-Be" process model to be developed during the design phase. Include considerations of budget, schedule, and lost productivity while the process is being re-designed, and while training and mentoring is provided. Use of process simulation software will expedite the development of those estimates.

Automation "Quick Win" Project Artifacts for Analysis Phase

The analysis phase artifacts are the same as those for the requirements phase.


Interview information is verified early in the Analysis Phase. Ensure the interview information is correct, accurate, and complete during interviewee verification.

Change Management Plan (CMP)(Limited)

Several sections of the CMP must be updated to document the size and scope of potential process changes. Update CMP sections covering change management description, benefits of process change, and planning require the principal updates at the completion of the Analysis Phase.

Requirements Traceability and Verification Matrix (RTVM)(Limited)

Requirements are updated as part of the work in the Analysis phase; this should be the last time changes are made to requirements without Process Change Board review. Without a change control process, any one on the team can change, add, or delete requirements without consensus of stakeholders and affected users.

As-Is Work Flows

The As-Is work flows are delivered to the interviewees before the end of the Analysis phase in an interactive meeting with them to evaluate correctness, accuracy, and completeness; the meeting should be also used to identify changes and document their concurrence with the "As-Is" work flow diagrams.

Gap Analysis (Limited)

Results of comparisons between existing process documentation and actual practice will be incorporated into a gap analysis and annotated to highlight differences and departures from government, industry or organization prescribed standards and best practices.

Re-design Project Artifacts for Analysis Phase

Analysis Phase re-design project artifacts include root cause analysis in addition to those needed for the requirements phase. Root cause analyses include Perato, Ishikawa, Fault Tree, Failure Mode and Effects Analysis, Kepner-Tregoe, Multiple-Cause, Systems-Oriented Incident Investigation and several other models. See Wikipedia for other types of root cause analysis. The As-Is work flow diagrams for a re-design project should also be submitted during the analysis phase.


Interview information is verified early in the Analysis Phase; changes are made to clarify or correct misunderstood information.

CMP (Full)

Update all sections of the CMP received from the automation analysts.

RTVM (Full)

Update requirements information in the RTVM prepared by the automation analysts.

As-Is Work flows

Review all documentation produced in this phase to ensure consistency between what activities are included in documented work flows and those that need to be included. Also, review the automation project "To-Be" work flows to ensure consistency with the automation project "As-Is" work flows. It is recommended that Business Process Management Notation (BPMN) standards published by the Object Management Group be implemented. The OMGâ„¢ is an international, open membership, not-for-profit computer industry consortium that develops and publishes modeling standards to enable powerful visual design, execution and maintenance of software and other processes.

Service Level Agreement (SLA)

Initiated in the requirements phase, the SLA serves as an Operations and Maintenance contract to ensure execution of agreed upon control and performance criteria. Submit the SLA to the customer at the beginning of the Analysis Phase.

Gap Analysis (Full)

Design is not only dependent on the correctness and thoroughness of all functions, it is also dependent on compliance with government, industry, and organization regulations, standards, and policies. The gap analysis should be completed by the end of the Analysis Phase.

Root Cause Analysis

All process failures, workarounds, and interruptions must be identified through use of one or more of the root cause analysis methods mentioned at the beginning of this section on re-design projects.

Be sure to visit my blog on Business Process Management for more information, references, products, and solutions supporting BPM.