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UML and Business Processes . Catherine Dwyer, PhD. Seidenberg School of Computer Science & Information Systems. Markets: Increasing Complexity. Relationship between complexity and information technology Relationship between complexity and risk - PowerPoint PPT Presentation
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UML and Business Processes
Catherine Dwyer, PhD.Seidenberg School of Computer Science &
Information Systems
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Markets: Increasing Complexity Relationship between complexity and information
technology
Relationship between complexity and risk
The only way to model risk in a socio-technical system is to use system models
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Example: Audit Assurance You are given the following flowchart and source
code as evidence for your audit of procurement procedures
Can you offer assurance that: Segregation of duties is maintained within the
process It is clear exactly what steps in process are handled
by an information system, and that adequate controls are in place
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Managing Risk From IT enabled Procesess
Information technology has slashed the time needed to complete a transaction
For example, high frequency traders will buy and sell stock within a 1-2 second window
The audit process has not increased its efficiency to keep up with speed of transactions
The gap is growing between the time required to complete a transaction (seconds) versus the time required to audit that transaction (hours, days or unknown)
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What is needed Auditors must develop more efficient procedures, can
only happen by leveraging information technology
Auditors need insight into information systems
Tools that offer auditors real time view of transaction activities and the operation of controls
Need visual diagramming tools that can capture broad scope (“the big picture”) and the ability to decompose the exact logic of a process (“in the weeds”)
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UML Concepts Unified Modeling Language (UML)
Use simple, intuitive diagrams to capture stages of a business process
We will look at two specific UML diagrams
Use Case Diagram – “bird’s eye” view of processes supported by an IS
Activity Diagram – describes logic flow through a process
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• Actor – Role (accountant, shipping clerk) that will use IS• Use case – a collection of activities that lead to a goal or an objective• System – represents operations of information system• System boundary – defines specific responsibilities of IS
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UML Concepts Actor – a role (“customer,” “manager”) who will use
an information system for specific purpose
Use case – description of a “goal” or “objective” for an actor (“withdraw cash,” “deposit check,” “register for class”)
System boundary – also referred to as automation boundary, defines what steps in a process are part of an information system
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Activity Diagram Symbols Start –defines beginning of the activity
Action – steps take by an actor or by an IS
Swim lane – defines boundary of activity
Transfer of control – represents interactive process
Decision – branch or choice based on specific condition
End – defines end of activity
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Procurement example Magal chapter 3
Look at narrative of procurement process on handout
Identify actors
Identify use cases
14Use Case Diagram
Does this diagram provide evidenceof segregation of duties?
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Example of Activity Diagram Can show cooperation between actors and system
Describes the flow of logic for a process
Library example
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In class group work Create a use case diagram for the “fulfillment”
process (on handout)
Identify actors and uses cases
Hand in at end of class
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UML Group Homework Part 1: The system you will be diagramming is an
Automated Teller Machine (ATM)
Create a Use Case Diagram for ATM
Write 1-2 paragraph narrative that describes your diagram
Create an Activity Diagram for cash withdrawal activity
Write 1-2 paragraph narrative that describes your diagram
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Group Homework cont. Part 2: Post to Discussion Board – due by 6 pm
March 20th
Each group must post 3 examples of processes and/or accounting conditions that can be diagrammed with UML
Hand in Part 1 hard copy in class March 20th