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Summary of Modules
Module 0. Module 1. Module 2. Module 3. Module 4. Module 5. Module 6. Module 7. Module 8. Module 9. Module 10. Summary & Overview Conceptual Framework Supporting Software Structure of Systems Analysis Objectives & Requirements Methods for Analysis The Library Planning Model Requests for Proposal Measures of Performance Issues in Determining Costs Details of RFP
Summary
Contexts for Library Systems Analysis Methods for Dealing with such Tasks Supporting Software Tools
System Schematics Steps in Systems Analysis Stages in Systems Analysis Approaches to Systems Analysis
Summary (cont.)
Definition of Objectives Determination of Requirements Functional Requirements Methods for Analysis Approaches to System Design Requests for Proposal Assessment of Effectiveness Assessment of Costs
Overview
A. CONCEPTS, REQUIREMENTS DEFINITION, SCOPE 1. Introduction & Overview 2. Systems Analysis Concepts 3. Scope & Requirements B. METHODS OF ANALYSIS 4. Dimensions of Analysis & Design 5. Data Structures 6. Description of Relationships among Dimensions C. METHODS OF DESIGN & EVALUATION 7. Systems Design 8. Measurement of Effectiveness 9. Measurement of Cost D. PROJECT MANAGEMENT 10. System Implement, Project Manage, Monitor 11. Software
Systems Analysis
Hermeneutics Analogy
Systems Analysis
SYSTEMS ANALYSIS is derived from scientific and mathematical tradition. It attempts to understand a phenomenon which it calls a system by breaking it into successively more detailed component parts the process of analysis until the parts can be understood in themselves, without further stages of analysis. The great strength of systems analysis is its ability to deal with exceptionally complex phenomena and to provide means for dealing with them, especially for pragmatic purposes. The great deficiency of systems analysis is inherent in the very process of analysis: The approach to analysis predetermines the final picture of the phenomenon; the phenomenon as a whole may be destroyed; and essential inter-relationships among component parts may be lost. Of course, the methodology can in principle compensate for the deficiency by providing means to reconstruct relationships and to identify larger contexts.
Hermeneutics
HERMENEUTICS is derived from theological and philosophical tradition. Originally, it was a methodology for Interpretation, especially of scriptural text. It attempts to understand a phenomenon by identifying its relationships to other phenomena, ultimately encompassing the entire universe. The great strength of hermeneutics is its emphasis on inter-relationships and the resulting ability to interpret interactions and to see the effects on the whole. The great deficiency of hermeneutics is that it provides no means to delve into the structure of a phenomenon or to set boundaries on the scope of inter-relationships to be considered. Inevitably, it thus must encompass the universe. Of course, the methodology can in principle compensate for the deficiency by incorporating some methods of analysis and by setting boundaries on the scope of phenomena to be inter-related.
Analogy
ANALOGY is derived from mathematical and pragmatic tradition. It attempts to understand a phenomenon by identifying its similarities to other phenomena, drawing analogies from them to suggest form, structure, function, and operation. The great strength of analogy is its ability to draw upon past experience and bring it to bear on new situations without the delays that arise from other approaches to dealing with new phenomena. The great deficiency of analogy is that it fails adequately to deal with essential differences, treating similarities as though they reflected identity. As a result, it can lead to serious mis-understanding and disastrous results. Of course, the methodology can in principle compensate for the deficiency by assuring that essential differences are recognized and even emphasized in developing understanding and, especially, in use of the understanding.
Computer Aided Systems Analysis, for Methods The Library Planning Model, for Evaluation Project Managers, for Planning & Control
Project Management
Establish Work Breakdown Structure Determine Task Inter-Relationships Schedule Sequence of Tasks Assign Resources Identify Schedule Conflicts
Input
Communicate
Storage
Communicate
Output
Process
Feedback
Objectives
Hierarchy of Systems
National Policies
Cooperation Context(s) Information Technologies Political Context(s) Information Sources Information Facilities User Context(s)
Administrative Context(s)
The Library as System of Focus Sub-System 1 Sub-System 2
Sub-System 3
Sub-System 4
Definition of Objectives
MANAGEMENT OBJECTIVES Strategic and Contextual Objectives Tactical Objectives Operational Objectives TECHNICAL OBJECTIVES Functional Requirements Performance Requirements Cost & Budget Requirements POLITICAL OBJECTIVES Administrative Responsibilities Professional Concerns Capital Commitments Personal Perspectives & Goals
Determination of Requirements
Performance Expectations Boundary Conditions Functional Requirements Political Factors
Performance Expectations
Level of Performance
High Performance Frugal
Resource Implications
Resource Exploitation Resource Creation
Subsistence
Resource Preservation
Boundary Conditions
Issue
Funding Staffing Equipment
Boundary Conditions
Available Resources Maintain, Reduce, Reallocate? A Means or an Objective?
Alternatives
Prescribed or Proscribed?
Functional Requirements
Context Requirement
Operating Procedure
Reporting
Formalize
Identify Formats
ad hoc Procedures
ad hoc Requirement
Establish Means
Isolated Event?
Political Factors
Context Political Issue
Capital Commitments
Administrative Responsibilities Professional Perspectives Personal Objectives
Reluctant to Change
Protect Authority Maintain Commitments Hidden Agendas
External, Formal
Present Operations
Specifics
Walk-Throughs
Future Operations
Specifics
Critical Incident Technique
Delphi Technique
Scenarios
Project Statistics
Alternative Approaches
Evolution from Current Operations Maintains consistency in operations Builds upon data from actual experience Tends to perpetuate existing assumptions and deficiencies Determination of Objectives in terms of User Needs Aims to avoid pre-existing assumptions Builds upon studies of users and their needs Is difficult to identify what are real objectives Revolution to a Brave New World Looks to an ideal system Builds upon models and hypothetical data Tends to create its own assumptions and deficiencies
Alternative Approaches
There are two dramatically different approaches to determination of the requirements for an information system and, as a consequence, to the entire concept of system analysis: the evolutionary approach and the revolutionary one. The former starts from the existing operation, determines what it does and how it does it, then uses the resulting picture as the basis for identifying requirements, extrapolating from current needs, usually as represented by workloads. The latter tries to create a more conceptual picture of an ideal or total set of requirements, determined not by examination of any current operation or the needs it serves but by an examination of users themselves, focusing on the functions they perform and determining requirements from them. Between them lies an approach that mixes the two extremes, by starting from the Evolutionary approach but placing special emphasis on needs of users.
My Choice of Approach
These are not necessarily exclusive alternatives. In fact, in each approach there will be elements of analysis that are best handled by the other. But each systems analyst does adopt one or the other as the basis for working, and I must record that in my own case it is the evolutionary approach combined with emphasis on needs of users. Among my reasons for choosing the evolutionary approach is my experience with the importance of political factors in the entire process. The facts are that information systems, the way in which they are implemented and operate, affect people the people that work in them, the people they serve, the people that provide the resources needed. Those political factors need to be understood and, like it or not, are largely determined by the current situation and the reasons for wanting changes from it. In fact, my experience as a consultant universally has been that the need for analysis arises not from the technical decisions, though they may be seen as providing the answers, but from the political ones. Therefore, as we later examine the determination of scope and of requirements, I will place some emphasis on the political factors.
Dimensions of Analysis
Underlying all of the methods are four dimensions:
Data
Entities & Relationships Records & Fields
Functions
Processes Decisions
Components
People Equipment
Time
Sequence Events
a characterization of an entity in one of the dimensions a relationship among entities within a dimension A relationship among entities across dimensions
The entries for a relationship across dimensions take the following form:
Data Entity Function Component Time Parameters Entity Entity Entity
Maintenance of this data base is a central task in conduct of a systems analysis project.
Lets first look at the Data Dimension, since it is the foundation for everything:
Data Structures
Data Dictionary Meaning of Data Element Composition of Complex Data Element Acceptable Values for Data Element Alternative Values for Data Element Entity and related Properties Key Field Other Required Fields Optional Fields Iteration of Fields (zero or more) Objects: Types and Sub-Types of Entities Shared Properties Distinct Properties
A data dictionary is a centralized depository of data about data as a means for dealing with databases systems of increasing size and complexity. Such systems can have dozens of programs, hundreds of thousands of lines of code, hundreds of data field names in dozens of types of records, many relations and reports, dozens of professional programmers maintaining the system, and hundreds of users. A data dictionary is a necessity to maintain control, to assure uniformity in development, to communicate with users. Historically, this functional need was represented by forms control. Each form, record, and report would be identified and given a form control number. A forms control record would show the fields incorporated in it, identify who was responsible for generating it and transmitting it. The resulting file was a the counterpart of the modern data dictionary.
Maintenance of a data dictionary requires the following elements: Means for defining entries Means for adding, modifying, and deleting entries Means for validating entries Means for inter-relating entries
Data element: Name Alternatives: Corporate, Individual Structure: (Name), ((Title), First, (Middle), Last), Value: (Alpha-Numeric), (Alphabetic) Data element: Customer ID Value: (Numeric) Data Element: Address Structure: (Street, City, State, Mail Code, Country) Alternatives: (Home Address), (Business Address) Data Element: Customer Record Key Field: Customer ID Required Fields: Name, Address Optional Fields: Alternative Address(es)
Relationships
A Relationship is an operational connection among two or more Objects For example, a Purchase is a Relationship among the following Objects: Customer ( there may be one or more) Item Purchased (there may be one or more) Sales Representative Order form A Form (such as an Order Form) embodies a Relationship and contains Fields identifying the Objects (as shown above)
There can be redundancy, with values appearing multiple time can consuming storage space. There can be inconsistencies because of errors in entry of multiple values.
To avoid those problems, a Relational Database defines canonical forms for each Entity and Object which have the following properties:
There is no redundancy, so a given field and its value for a given record (except for IDs) appears only once in the file. All references to an entity are by means solely of its ID field.
Warnier-Orr Diagrams
The Warnier-Orr technique uses graphical displays that combine brackets, circular arrows, vertical arrows, numbers (N), and plus signs (+) to portray activities or data elements and the relationships among them. The Warnier-Orr technique as applied to description of data elements starts with the system outputs, including reports, forms, and files, perhaps using means similar to the Worksheets 2 & 3 (to be presented later). Each of them is decomposed into data elements. Hierarchies are identified (for example, as involved in sub-fields of a MARC record) and schematically shown by brackets that enclose data elements supporting or involved in the label to the left of the bracket. Options for data elements, sequences of them, or repetition of them are then shown by the appropriate symbol.
Hierarchy
Sequence
Sequence example
Repetition
Alternation shown by
Alternation Example
Concurrency example
Project Requestors
Management
Stage 1 Feasibility
Stage 2 Requirements
Stage 3
Management
Project Requestors
Vendors
Flow Charting
Flow charting is a tool used to show the sequence of steps in a computer program, a procedure, or a process. There are typical conventions for the use of symbols in a flow chart, as illustrated in the following slide. But, as with other examples of schematics, the various computer software packages will differ in the conventions they use. Again, the user needs to become comfortable with whatever may the conventions in the software being used.
C om m e nt
Co re
D isp la y
C on ne cto r
O ff-pa g e Co n ne ctor
G e n eric P roce ss
Term in a l Pro cess (be gin, e nd ) On line Stora g e De cisio n P roce ss Dis ke tte
M a nu al O p e ratio n
M a gn etic Tap e M an ua l Inp u t P re p ara tio n Pro ce ss M a gn e tic Dru m Pred e fine d P roce ss Inte rna l Su b -ro u tine Pu n che d C ard
Ca rd D eck Extract Pro cess C olla te Pro cess Pu n che d Ta p e M erg e P roce ss So rt P ro ce ss
Details of Stage 1
Details of Stage 2
Details of Stage 3
Details of Stage 4
Component Dimension
Personnel Components Equipment Components
Organization Charts Operational Relationships Charts
Hardware
Cataloging Circulation
Acquisitions
Library Operations
Central Library
Branch Libraries
Technical Services
Reader Services
Hum anities
Humanities Faculty
Engineering Faculty
Library
Library
Library
Technical Services
Readers Services
Readers Services
Technical Services
Readers Services
Technical Services
Law Faculty
Library
Library
Library
Readers Services
Technical Services
Readers Services
Technical Services
Readers Services
Technical Services
Medicine Faculty
Library
Readers Services
Technical Services
ILL Borrowing
1 2 3 4 5 6 7 8 9 10 11 12
Personnel Component
11 11 11 11 11 14 23 14 12 12 14 1 Reference Reference Reference Reference Reference ILL Management Receiving ILL Management Circulation Circulation ILL Management Budget & Accounting
Software Component
12 13 13 13 23 23 23 21 21 1 1 OPAC Module OCLC Module OCLC Module OCLC Module ILL Module ILL Module ILL Module Circulation Module Circulation Module Accounting Module Accounting Module
Receive Request Check OPAC Check Bibliographic Request via OCLC Select Source Establish Record Receive Material ILL Manage Circulate to User Return Material Account for Transaction Reconcile Accounts
Software Component
1 21 21 21 21 21 1 21 12 21 1 22 12 Accounting Module Acquisitions Module Acquisitions Module Acquisitions Module Acquisitions Module Acquisitions Module Accounting Module Acquisitions Module Circulation Module Acquisitions Module Accounting Module Cataloging Module Circulation Module
Gantt Chart
A Gantt chart shows the sequence of a set of functions or activities (called a work breakdown schedule) much as does a flow chart, but in addition it shows the duration of each activity and the inter-dependencies of activities. One can therefore see when, in time, things will occur and can determine which activities may causes delays. In addition, a Gantt chart will frequently show the assignments of activities to components and the resources implies by those assignments. One can therefore see where there are too few or too many resources and where resources may need to be allocated in order to deal with potential delays by shortening the duration of an activity.
The first slide presents the preliminary stage and then Stages 1 and 2. The second slide presents Stages 3 and 4. The third slide presents Stages 5 and, more briefly, Stages 6, 7, and 8.
These slides were produced using the software package Project Manager Pro.
It includes capabilities for showing PERT charts It includes capabilities for assigning resources It includes capabilities for dealing with calendars
Unfortunately, it is DOS-based software rather than Windows-based. Even more unfortunately, it is no longer produced so it is not readily available. Despite those difficulties, it still works well and serves an an illustration of its capabilities. Note that I have left the schedules for tasks under Stages 3 thru 8 undefined, so we can use them as exercises.
MACRO-SCHEDULE: WORKLOAD DISTRIBUTIONS OF SYSTEM STAFF TO ACTIVITIES FOR AUTOMATION PROJECT Entries are Person-Days per Week Staff are A# = System Staff and L# = Librarian Staff STAFF DEC JAN FEB MAR APR ACTIVITIES A# L# D1 D2 D3 D4 J1 J2 J3 J4 F1 F2 F3 F4 M1 M2 M3 M4 A1 A2 A3 A4 DATABASE ACTIVITIES OCLC Retrocon Assess 3 3 3 3 3 3 System Convert Asssess 7 7 7 7 Transfer to new System 1 2 Transfer OCLC to new system 1 2 Transfer system to lbys 1 2 TRAINING ACTIVITIES New Software Mgt Course 5 1 New Equipment Mgt Course 5 1 New System Lbn Course 2 12 54 28 54 28 54 New System Lbn course 6 TECHNICAL ACTIVITIES New system Tables 2 5 14 14 New system Language Translation 2 5 6 6 6 Non-bilio file convert 1 3 6 12 Sys Oper Procedures 2 Lby Oper Procedures 12 OTHER ACTIVITIES Current Ops Responsibility 5 12 28 25 24 18 Holidays & Vacations 5 12 72 85 85 85 85 85 34 TOTALS 5
3 7
3 7
24
24
24 21 54 21 21 54 30 14 14 6 6 6 6 8 8 8
24 21 21 54 21
14 14 6 6
14 6 6 6
6 6
17 13 22
8 17 17
11 17
12 85 85 85 88 85 88 85 88 85 85 85 85 85 85 85
85 85 85 55 85
MACRO-SCHEDULE: WORKLOAD DISTRIBUTIONS OF SYSTEM STAFF TO ACTIVITIES FOR AUTOMATION PROJECT Entries are Person-Days per Week Staff are A# = System Staff and L# = Librarian Staff STAFF MAY JUN JUL AUG SEP ACTIVITIES A# L# M1 M2 M3 M4 J1 J2 J3 J4 J1 J2 J3 J4 A1 A2 A3 A4 S1 S2 S3 S4 DATABASE ACTIVITIES OCLC Retrocon Assess 3 System Convert Asssess 7 Transfer to new System 1 2 Transfer OCLC to new system 1 2 Transfer system to lbys 1 2 TRAINING ACTIVITIES New Sys Mgt Course 5 1 Ne Equipment Mgt Course 5 1 New System Lbn Course 2 12 New System Lbn course 6 TECHNICAL ACTIVITIES New system Tables 2 5 New system Language Translation 2 5 Non-bilio file convert 1 3 Sys Oper Procedures 2 Lby Oper Procedures 12 OTHER ACTIVITIES Current Ops Responsibility 5 12 Holidays & Vacations 5 12 TOTALS 5
12 12 12
9 21 54 54 42 54 21 21 30 30 30 7 6 6 12 46 34 34
30
30
30
30
30
14 14 14 14 14 6 6 6 6 6 6 6 6 6 6 6 6 9 12 12 12 12 12 12 12 12 13 11 7 40
2 53 17 47 55 85 49
78 55 85 55 85 1 85 85 85 85 85
12 85 85 85 85 85 85 85 85 85 85 85 85 85 85 85
(1) Worksheet 1 provides means for recording data about the administrative structure (2) Worksheet 2 provides means for recording data about files. They would include collections of material (each type of collection being a separate file) as well as administrative and operational data files. The relevant data include identification of the types of records that are stored in each file together with numbers of those records that are stored and are acquired. (3) Worksheet 3 provides means for recording data about records that are stored in files. The relevant data include identifying the fields that are included in the records together with the size and frequency of occurrence of each field.
Function
Prof
Dly
Date
Analyst
Source
Page
Seq
Date
Analyst
Source
Page
No.
Date
Analyst
Source
Page
Populations Served
Materials Acquired
(1)
(2)
Estimation of Facilities
LPM includes means to estimate the facilities needed to meet the needs of users. LPM includes means to estimate the facilities needed to meet the needs for storage of materials. Since data are reported in many different ways, LPM provides means to convert from one means of measurement to another.
Estimation of Facilities
LPM includes means for estimating the requirements for facilities to meet the needs of users and to store collections.
Introduction and Summary Instructions to Proposers Evaluation Of Proposals General Requirements Installation & Conversion Documentation, Training, & Help Maintenance
Section 8. Benchmark & Acceptance Testing Section 9. Specifications For Required Modules Section 10. Desired Optional Modules Section 11. Specifications For Hardware
Appendix 1. The Institution Appendix 2. Computing & Telecommunications Appendix 3. Requirements For External Interfaces
Evaluation Process
Section 7. Maintenance
Staff Policies of the Proposer Hardware Maintenance Software Maintenance
Serials
System Records Report Control Records Access Control Records Tables of Definition Records Acquisition Records Vendor Records Fund Account Records
Acquisitions
Serials Subscription Records Serials Holdings Records Materials Management Receiving & Processing Inventory Control Binding
Opac Services
Circulation Transaction Record Patron Record Reserve Book Record Accounting Record Reference Support ILL
Multi-media Management Title Record Equipment Record Rooms & Facilities Network Access CD-ROM Access Campus Databases Internet Interfaces to External Environments
Appendices
The appendices provide data about the institution, its current information hardware and software, and the needs of the environment external to the institution itself.
It is important that there be a well-defined procedure for assessment and that it involve as participants that will represent the persons who will be involved in or affected by the system. That procedure should be clearly identified.
For both legal and ethical reasons, it is important that the procedure and assessments be objective and that the basis for the assessments be documents and justifiable
The actual needs may or may not be well represented by the specifications embodied in the RFP. Therefore, they should not be used as a straight-jacket but as a set of guidelines.
A set of Functional Evaluation Teams, each focused on a specific aspect of the RFP, will evaluate the functionality, quality, suitability, and adaptability. A separate Cost Evaluation Team will assess the costs of the proposed systems and the corporate qualifications of the proposers. Each team will make independent rank order assessments and recommendations to the Executive Review Committee which will then weigh and compare them to arrive at it final rank order evaluations and decisions. In is possible that, based on the assessments by the Evaluation Teams, a list of as many as three proposals may be established as the basis for more detailed discussions and demonstrations of the proposed systems at mutually agreed upon sites. In that case, the decision by the Executive Review Committee will then follow the conclusion of those discussions and demonstrations. Following that selection, negotiations would then be started with the selected proposer in order to arrive at a mutually agreeable contract.
hardware & software performance capability of the vendor to deliver & to provide support services contractual provisions cost quality of the proposed training program ability to adapt to future changes in hardware and software ability of the system to serve additional future requirements such other factors as may be deemed relevant
other documentation from the proposer data from other users of the system records of prior performance by the proposer
Issues in Assessment
BALANCING COSTS WITH EFFECTIVENESS Difference Measures the Problems Ratio Measures the Traps THE MEASUREMENT OF EFFECTIVENESS Multiple Functional Requirements Weighting their Relative Importance Qualitative and Quantitative THE MEASUREMENT OF COST Full-Cost or Marginal Cost Full-Cost or Direct Cost
Sub-System Evaluation
S = (System Cost) (Sub-System Cost) = N/T * (C CS) (System Cost) CS C
Clerical Professional
Lets take C1 as $8/hour and C2 at $16 per hour, and consider three different mixes of the two levels of quality with copy cataloging at 100%, 90%, and 70%:
N/T = 10
LEVEL
(Basic)/(Minimum) = 1.50
Direct Labor (Full Salary)/(Basic) = 1.50 Salary & Benefits
ILL Borrow
Workload Factors
Relation between FTE per 1000 Transactions and Minutes per Transaction
Assume that a typical working year is 42 weeks (which allows 10 weeks for holidays, vacation, and sick leave). Note that are almost exactly 100,000 minutes in a typical working year: (42*40*60 = 100,800). Hence, one FTE can be taken as 100,000 minutes. Given that, 1.00 FTE per 1000 Transactions implies 100 minutes per transaction and similarly for other numbers of FTE (e.g., 0.25 FTE per 1000 transactions implies 25 minutes per transaction, etc.).
Sorting Time
per item in a batch as a function of (Batch Size) log(Seconds per Item) = 0.25 + 0.25*log(Batch Size)
2.50
2.00
1.50
1.00
0.50
0.00 0 1 2 3 4 5 6 7
log(Batch Size)
High 10 Percentile Average Range Low 10 Percentile
Filing Time
per item in a batch as a function of (File Size)/(Batch Size) log(Seconds per Item) = 0.75 + 0.25*log(FileSize/BatchSize)
3.00
2.50
2.00
1.50
1.00
0.50
0.00 0 1 2 3 4 5 6 7
log(FileSize/BatchSize)
High 10 Percentile Average Range Low 10 Percentile
234.1 3
Total Salaries
Direct Salaries
1.00T
0.67T
1.00T
0.67T = 1.00D
0.14T 0.20T
0.67T = 1.00D
1.34T
0.13T 1.47T
1.34T = 2.00D
0.13T = 0.20D 1.47T = 2.20D
THE SUBSTANTIVE PROPOSAL THE SYSTEM SUPPORT SECTION INSTALLATION & CONVERSION, DATA & PROCEDURES respond to requirements in Section 5 DOCUMENTATION, TRAINING & HELP respond to requirements in Section 6 MAINTENANCE & SUPPORT respond to requirements in Section 7
fields as specified
TRANSACTION RECORD a record for each circulation transaction specified fields searchable by all fields a notes field for data about the transaction PATRON RECORD be a record for each patron and library specified fields searchable by specified fields means for updating from other files a notes field for data about the patron
RESERVE BOOK RECORD record for each item in reserve book operation specified fields field for use in the reserve book operation RESERVE BOOK CLASS RECORD a record for each class with reserve books specified fields ACCOUNTING RECORD a record of accounting data for fines and fees specified fields
AV TITLE RECORD a record for each AV or multi-media title managed within the bibliographic database specified fields fields for description of physical condition AV EQUIPMENT RECORD specified fields a record for each item of equipment AV ROOMS & FACILITIES a record for each room or facility specified fields field for booking status of room or facility
THE END