Document Flowcharts 6v26
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DOCUMENT FLOWCHARTS • A document flowchart shows the flow of documents and information among areas of responsibility in an organization. • These flowcharts trace a document from cradle to grave and show: – – – – –
Where a document comes from Where it’s distributed How it’s used It’s ultimate disposition Everything that happens as it flows through the system
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
1 of 138
DOCUMENT FLOWCHARTS • Internal control flowcharts are document flowcharts used to evaluate the adequacy of internal controls, such as segregation of duties or internal checks. • They can reveal weaknesses or inefficiences such as: – Inadequate communication flows – Unnecessarily complex document flows – Procedures that cause wasteful delays
• Document flowcharts are also prepared in the system design process. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
2 of 138
This is part of the document flowchart from Figure 3-9 in your textbook. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
3 of 138
GUIDELINES FOR PREPARING FLOWCHARTS • Let’s step through some guidelines for preparing flowcharts: – As with DFDs, you can’t effectively prepare a flowchart if you don’t understand the system, so: • Interview s, developers, auditors, and management. • ister questionnaires. • Read through narratives. • Walk through systems transactions © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
4 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Identify: • Entities to be flowcharted, e.g., departments, functions, external parties (the parties who “do” things in the story) • Documents or information flows • Processes
– As you read through a narrative, you may want to mark the preceding items with different shapes (e.g., drawing a rectangle around entities, circling documents, etc.). © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
5 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Use separate columns for the activity of each entity. • Example: If there are three different departments or functions that “do” things in the narrative, there would be three columns on the flowchart.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
6 of 138
What are the entities in this flowchart?
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
7 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Flowchart the normal course of operations, and identify exceptions with annotations. – As much as possible, the flow should go from top to bottom and left to right. – Use standard flowcharting symbols, and draw with a template or computer. – Clearly label all symbols. Use annotations if necessary to provide adequate explanation.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
8 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Give the flowchart a clear beginning and ending. • Show where each document originated and its final disposition.
– One approach you can use is to read through the narrative and for each step define: • What was (were) the input(s) • What process was carried out • What was (were) the output(s)
– Note on the next slide that the flow sequence is input -- process – output. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
9 of 138
Identifies where input is coming from
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
10 of 138
Inputs
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
11 of 138
Process
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
12 of 138
Output to storage
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
13 of 138
Input for next process
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
14 of 138
Process
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
15 of 138
Output
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
16 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Every manual process should have at least one input and at least one output. – Show all data entered into or retrieved from a computer file as ing through a process first. – Do not show process symbols for: • Forwarding a document to another entity • Filing a document
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
17 of 138
Forwarding a document
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
18 of 138
Filing a document
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
19 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Do not connect two documents except when forwarding to another column. • When a document is forwarded, show it in both locations.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
20 of 138
Show forwarded document in both locations © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
21 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – When using multiple copies of a document, place document numbers in the upper, right-hand corner.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
22 of 138
What happens to the document numbers as the documents move to other locations? © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
23 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Show on-page connectors and label them clearly to avoid excess flow lines.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
24 of 138
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
25 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Use off-page connectors if the flow goes to another page.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
26 of 138
Are there other offpage connectors on this flowchart? © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
27 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – If a flowchart takes more than one page, label the pages as 1 of 5, 2 of 5, 3 of 5, etc. – Show documents or reports first in the column where they are created. – Start with a rough draft; then redesign to avoid clutter and crossed lines. – the accuracy of your flowchart by reviewing it with s, etc. – Place the flowchart name, the date, and the preparer’s name on each page of the final copy. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
28 of 138
Where a document comes from Where it’s distributed How it’s used It’s ultimate disposition Everything that happens as it flows through the system
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
1 of 138
DOCUMENT FLOWCHARTS • Internal control flowcharts are document flowcharts used to evaluate the adequacy of internal controls, such as segregation of duties or internal checks. • They can reveal weaknesses or inefficiences such as: – Inadequate communication flows – Unnecessarily complex document flows – Procedures that cause wasteful delays
• Document flowcharts are also prepared in the system design process. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
2 of 138
This is part of the document flowchart from Figure 3-9 in your textbook. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
3 of 138
GUIDELINES FOR PREPARING FLOWCHARTS • Let’s step through some guidelines for preparing flowcharts: – As with DFDs, you can’t effectively prepare a flowchart if you don’t understand the system, so: • Interview s, developers, auditors, and management. • ister questionnaires. • Read through narratives. • Walk through systems transactions © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
4 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Identify: • Entities to be flowcharted, e.g., departments, functions, external parties (the parties who “do” things in the story) • Documents or information flows • Processes
– As you read through a narrative, you may want to mark the preceding items with different shapes (e.g., drawing a rectangle around entities, circling documents, etc.). © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
5 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Use separate columns for the activity of each entity. • Example: If there are three different departments or functions that “do” things in the narrative, there would be three columns on the flowchart.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
6 of 138
What are the entities in this flowchart?
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
7 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Flowchart the normal course of operations, and identify exceptions with annotations. – As much as possible, the flow should go from top to bottom and left to right. – Use standard flowcharting symbols, and draw with a template or computer. – Clearly label all symbols. Use annotations if necessary to provide adequate explanation.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
8 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Give the flowchart a clear beginning and ending. • Show where each document originated and its final disposition.
– One approach you can use is to read through the narrative and for each step define: • What was (were) the input(s) • What process was carried out • What was (were) the output(s)
– Note on the next slide that the flow sequence is input -- process – output. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
9 of 138
Identifies where input is coming from
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
10 of 138
Inputs
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
11 of 138
Process
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
12 of 138
Output to storage
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
13 of 138
Input for next process
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
14 of 138
Process
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
15 of 138
Output
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
16 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Every manual process should have at least one input and at least one output. – Show all data entered into or retrieved from a computer file as ing through a process first. – Do not show process symbols for: • Forwarding a document to another entity • Filing a document
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
17 of 138
Forwarding a document
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
18 of 138
Filing a document
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
19 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Do not connect two documents except when forwarding to another column. • When a document is forwarded, show it in both locations.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
20 of 138
Show forwarded document in both locations © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
21 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – When using multiple copies of a document, place document numbers in the upper, right-hand corner.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
22 of 138
What happens to the document numbers as the documents move to other locations? © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
23 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Show on-page connectors and label them clearly to avoid excess flow lines.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
24 of 138
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
25 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – Use off-page connectors if the flow goes to another page.
© 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
26 of 138
Are there other offpage connectors on this flowchart? © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
27 of 138
GUIDELINES FOR PREPARING FLOWCHARTS – If a flowchart takes more than one page, label the pages as 1 of 5, 2 of 5, 3 of 5, etc. – Show documents or reports first in the column where they are created. – Start with a rough draft; then redesign to avoid clutter and crossed lines. – the accuracy of your flowchart by reviewing it with s, etc. – Place the flowchart name, the date, and the preparer’s name on each page of the final copy. © 2006 Prentice Hall Business Publishing
ing Information Systems, 10/e
Romney/Steinbart
28 of 138
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