Document Analysis

Document Analysis: A Comprehensive Guide for CBAP Certification

Introduction to Document Analysis

Document Analysis is a critical elicitation technique used by Business Analysts to understand business requirements, processes, and systems. It involves systematically reviewing existing documents, records, and artifacts to gather information about organizational structure, current processes, and stakeholder needs.

Why Document Analysis is Important

1. Cost-Effective Information Gathering: Document analysis provides valuable insights without requiring extensive interviews or meetings, making it a cost-effective elicitation method.

2. Historical Context: Documents provide a historical perspective on how processes have evolved and what has been tried in the past.

3. Comprehensive Understanding: Documents reveal formal procedures, policies, and standards that guide organizational operations.

4. Reduced Bias: Written documents offer objective information that is less subject to individual interpretation than purely verbal communication.

5. Evidence-Based Requirements: Documents serve as evidence that can be referenced when defining and validating requirements.

6. Compliance and Audit Trails: Documents help ensure that requirements comply with regulations and organizational standards.

What is Document Analysis?

Document Analysis is a structured approach to extracting relevant information from existing organizational documents. It involves identifying, collecting, and systematically reviewing various types of documents to understand current state processes, business rules, policies, and requirements.

Key Characteristics:
• Passive elicitation technique (information already exists)
• Non-intrusive method that doesn't require participant availability
• Can be performed independently by the analyst
• Provides baseline understanding before other elicitation activities
• Complements other elicitation techniques

Types of Documents Used in Analysis

1. Process and Procedure Documents:
• Standard Operating Procedures (SOPs)
• Process flows and flowcharts
• Workflow diagrams
• Work instructions

2. Policy and Compliance Documents:
• Corporate policies
• Regulatory requirements
• Industry standards
• Quality assurance guidelines

3. Business Documents:
• Business plans and strategies
• Organizational charts
• Job descriptions
• Performance metrics

4. System and Technical Documents:
• System requirements specifications
• Architecture diagrams
• Data dictionaries
• Technical manuals

5. Historical Documents:
• Previous project documentation
• Change logs
• Meeting minutes
• Problem reports

6. Stakeholder Documents:
• Customer feedback
• Complaint records
• Enhancement requests
• User feedback forms

How Document Analysis Works

Step 1: Planning and Preparation
• Define objectives for document analysis
• Identify what information you need to find
• Create a list of potential documents to review
• Establish selection criteria for relevant documents

Step 2: Document Collection
• Gather all relevant documents from appropriate sources
• Organize documents for easy access and review
• Note the document's source, date, and version
• Ensure documents are current and authoritative

Step 3: Document Review and Analysis
• Read documents systematically and carefully
• Identify key information relevant to the project
• Look for inconsistencies between documents
• Note gaps or missing information
• Highlight policies, rules, and constraints

Step 4: Information Extraction
• Document findings in a structured format
• Create summaries of important information
• Categorize information by topic or theme
• Cross-reference related information

Step 5: Gap Identification
• Identify areas where documents conflict
• Note information that is unclear or missing
• Determine what additional elicitation is needed
• Flag areas requiring stakeholder clarification

Step 6: Documentation and Sharing
• Compile findings in a clear, accessible format
• Share insights with stakeholders for validation
• Use findings to inform other elicitation activities
• Update documentation as needed

Best Practices for Document Analysis

1. Be Systematic: Use a structured approach to ensure you don't miss important information.

2. Verify Information: Cross-check information across multiple documents and with stakeholders.

3. Understand Context: Understand the purpose and context of each document before analyzing it.

4. Track Sources: Always note which documents provided specific information for traceability.

5. Look for Patterns: Identify recurring themes and patterns across multiple documents.

6. Question Discrepancies: Investigate conflicts between documents rather than assuming one is correct.

7. Document Limitations: Understand and note the limitations of each document.

8. Stay Focused: Keep project objectives in mind to avoid getting lost in irrelevant details.

Advantages of Document Analysis

• Time Efficiency: Can be performed on the analyst's schedule
• Cost Effective: Minimal resource requirements
• Non-Disruptive: Doesn't interrupt business operations
• Objective Data: Based on actual organizational records
• Comprehensive: Provides broad understanding of current state
• Audit Trail: Creates documented evidence of research

Disadvantages and Limitations

• Outdated Information: Documents may not reflect current practices
• Incomplete Picture: May not capture informal processes or unwritten rules
• Interpretation Challenges: Documents may be ambiguous or unclear
• Limited Stakeholder Input: Doesn't provide direct stakeholder perspectives
• Volume: Large amounts of documentation can be overwhelming
• Access Issues: Some documents may be confidential or difficult to obtain
• Passive Technique: Cannot ask clarifying questions during analysis

How to Answer Questions on Document Analysis in Exams

Understanding the Question Types:
• Definition Questions: What is document analysis?
• Application Questions: When should you use document analysis?
• Scenario Questions: What documents would you review in this situation?
• Process Questions: What steps would you follow to conduct document analysis?
• Comparison Questions: How does document analysis compare to other techniques?

Exam Tips: Answering Questions on Document Analysis

Tip 1: Know When to Use It
Document analysis is ideal for:
• Understanding current state processes
• Identifying business rules and constraints
• Establishing baseline understanding before stakeholder interviews
• Gathering historical context
• When stakeholder availability is limited

Tip 2: Understand the Complete Process
Be able to describe the entire document analysis workflow from planning through sharing findings. Exams often test whether you understand the logical sequence of steps.

Tip 3: Know Key Advantages and Disadvantages
Be prepared to explain why document analysis is useful (cost-effective, non-disruptive) and its limitations (outdated information, incomplete picture). Many exam questions test this balance.

Tip 4: Recognize Document Types
Study examples of different document types and what information each provides. You may be asked to identify which documents would be most useful for a specific situation.

Tip 5: Understand Complementary Techniques
Document analysis rarely stands alone. Know how it fits with other elicitation techniques like:
• Interviews (to verify and clarify findings)
• Workshops (to discuss document-based findings)
• Observation (to see if documents match actual practice)
• Surveys (to gather broader perspectives on documented processes)

Tip 6: Focus on Practical Application
Exams often include scenario-based questions. Practice applying document analysis concepts to realistic project situations. Think about:
• What documents would exist in this scenario?
• What could you learn from these documents?
• What gaps would remain after analysis?
• How would you validate findings?

Tip 7: Pay Attention to Quality Issues
Be aware of quality considerations:
• Document currency and relevance
• Potential for conflicting information
• Reliability and authority of sources
• How to verify document accuracy

Tip 8: Know the Limitations
Exams frequently test whether you understand when document analysis is not the best choice. You should recognize scenarios where it would be inadequate alone, such as:
• When you need real-time feedback
• When processes have changed significantly
• When informal processes are critical
• When stakeholder engagement is essential

Tip 9: Understand Gap Analysis
This is a critical output of document analysis. Know how to:
• Identify gaps in documentation
• Determine what additional elicitation is needed
• Recognize conflicts in documents
• Plan follow-up activities based on gaps

Tip 10: Use Precise Terminology
When answering exam questions, use correct business analysis terminology:
• Use "document analysis" not "reading documents"
• Reference "stakeholders" appropriately
• Discuss "business rules" and "constraints"
• Refer to "current state" vs "future state"
• Use "traceability" when discussing documentation

Tip 11: Prepare for "Best Practice" Questions
You may be asked to identify best practices in document analysis. Remember:
• Systematic and structured approach
• Clear documentation of sources
• Cross-verification of information
• Stakeholder validation of findings
• Integration with other elicitation methods

Tip 12: Study Scenario-Based Questions
Prepare for questions like:
"Your organization is implementing a new customer service system. Which documents should you analyze first?"

For these questions, consider:
• Project objectives
• Types of documents available
• Information needed for requirements
• Priority and sequence of analysis
• How findings will be used

Tip 13: Understand Documentation and Outputs
Know what document analysis produces:
• Findings summary
• List of current state processes
• Business rules and constraints
• Identified gaps
• Recommendations for further elicitation

Tip 14: Remember the Goal
Always frame your answer around the ultimate goal: gathering requirements and understanding business needs to support project objectives. This context helps ensure your answers align with business analysis principles.

Sample Exam Questions and Approaches

Question Type 1: Definition
Q: What is document analysis in the context of business analysis elicitation?
Answer Approach: Define it as a structured technique for reviewing existing organizational documents to gather information about current processes, business rules, and requirements. Emphasize that it's a passive, non-intrusive method.

Question Type 2: Application
Q: When would document analysis be the most appropriate elicitation technique to use first?
Answer Approach: Discuss using it early in projects to establish baseline understanding, when stakeholders are unavailable, or when you need to understand current state before meeting with stakeholders.

Question Type 3: Process
Q: What is the correct sequence for conducting document analysis?
Answer Approach: Describe planning, collection, review, extraction, gap identification, and documentation/sharing in order.
Question Type 4: Scenario
Q: You're assigned to a project to improve a claims processing system. What documents would you analyze to understand current processes?
Answer Approach: Discuss SOPs for claims processing, policy documents, workflow diagrams, complaint records, previous project documentation, and performance metrics.

Final Preparation Checklist

Before your exam, ensure you can:
□ Define document analysis clearly
□ List at least five types of documents and what each reveals
□ Describe the six-step document analysis process
□ Explain at least four advantages and four disadvantages
□ Identify when document analysis is the best choice
□ Recognize when it needs to be supplemented with other techniques
□ Describe how to identify and address gaps
□ Explain how to validate findings from documents
□ Provide examples of document analysis in real scenarios
□ Use proper business analysis terminology throughout your answers

Conclusion

Document analysis is a fundamental elicitation technique in business analysis that provides a cost-effective, systematic way to understand organizational processes, rules, and requirements. Success in exam questions about document analysis requires understanding not just what it is, but when and how to use it effectively, as well as recognizing its limitations. By mastering the complete process, understanding various document types, and being able to apply the technique to realistic scenarios, you'll be well-prepared to answer any exam questions on this important CBAP topic.