Accounting Information Systems
11th Edition
ISBN: 9781337552127
Author: Ulric J. Gelinas, Richard B. Dull, Patrick Wheeler, Mary Callahan Hill
Publisher: Cengage Learning
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Question
Chapter 10, Problem 5SP
Summary Introduction
To match: The control plans against the control goals or System deficiencies.
Introduction:
OE/S process:
It is known as the order entry/sales process. It describes the first four steps of the order-to-cash process.
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The following is a list of six control plans from this chapter or from Chapter 9 and Chapter 10. These are followed by a list of five statements describing either the achievement of a control goal (i.e., a system success) or a system deficiency (i.e., a system failure). Match the five control goals or system deficiencies with a control plan that would best achieve the desired goal or prevent the system deficiency. A letter may be used only once, with one letter left over.
Control Plans
Review shipped not billed sales orders
Turnaround documents
Deposit slip file
Procedures for rejected inputs
Computer agreement of batch totals
Document design
Control Goals or System Deficiencies
The shipping clerk could not read the quantity picked that had been written on the picking ticket by the warehouse clerks.
In a periodic/batch environment, helps to ensure the information system control goal of input completeness of the shipping notices.
Helps to ensure that…
Following is a list of eight generic control goals (A-H), followed by eight descriptions of either process failures (i.e., control goals not met) or instances of successful control plans (i.e., plans that helped to achieve controls goals).
List the numbers 1 through 8 in the table below. Each number represents one of the described situations on the page below. In the table, next to each number, place the capital letter of the control goal that best matches the situation described.
Hint: Some letters may be used more than once in each situation. Conversely, some letters may not be used at all.
Control goals:
Ensure effectiveness of operations
Ensure efficient employment of resources
Ensure security of resources
Ensure input validity
Ensure input completeness
Ensure input accuracy
Ensure update completeness
Ensure update accuracy
Situations:
Instead of preparing deposit slips by hand, Kaley Company has them generated by the computer. The company does so to speed up the deposit…
Following is a list of eight generic control goals (A-H), followed by eight descriptions of either process failures (i.e., control goals not met) or instances of successful control plans (i.e., plans that helped to achieve controls goals).
List the numbers 1 through 8 in the table below. Each number represents one of the described situations on the page below. In the table, next to each number, place the capital letter of the control goal that best matches the situation described.
Hint: Some letters may be used more than once in each situation. Conversely, some letters may not be used at all.
Control goals:
Ensure effectiveness of operations
Ensure efficient employment of resources
Ensure security of resources
Ensure input validity
Ensure input completeness
Ensure input accuracy
Ensure update completeness
Ensure update accuracy
Situations:
Instead of preparing deposit slips by hand, Kaley Company has them generated by the computer. The company does so to speed up the deposit…
Chapter 10 Solutions
Accounting Information Systems
Ch. 10 - Prob. 1RQCh. 10 - What are the major functions performed by the OE/S...Ch. 10 - With what internal and external entities does the...Ch. 10 - Prob. 4RQCh. 10 - Prob. 5RQCh. 10 - Prob. 6RQCh. 10 - Distinguish buy-side and sell-side systems.Ch. 10 - Prob. 8RQCh. 10 - Prob. 9RQCh. 10 - Prob. 10RQ
Ch. 10 - Prob. 11RQCh. 10 - Prob. 12RQCh. 10 - Prob. 13RQCh. 10 - Prob. 14RQCh. 10 - Describe the impact that entity-level controls...Ch. 10 - Prob. 1DQCh. 10 - Prob. 2DQCh. 10 - Prob. 3DQCh. 10 - Prob. 4DQCh. 10 - Prob. 5DQCh. 10 - Prob. 6DQCh. 10 - An enterprise system supports a business process...Ch. 10 - Among the three functional entities (marketing,...Ch. 10 - The chapter presented a brief example of how the...Ch. 10 - Prob. 3SPCh. 10 - Prob. 4SPCh. 10 - Prob. 5SPCh. 10 - Prob. 6SPCh. 10 - Prob. 3PCh. 10 - Prob. 6P
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- Using the flowchart of a purchases system, identify six major control weaknesses in the system. Discuss and classify each weakness in accordance with SAS 78/COSO.arrow_forwardThe following is a list of 12 control plans from Chapter 8. These are followed by a list of 10 B/AR/CR business process controls or deficiencies. Match the 10 B/AR/CR business process control plans with a pervasive control plan from Chapter 8 that could prevent the deficiencies noted in the preceding list or have an impact on the successful execution of the business process control. Explain the impact that the pervasive control could have. Control Plans from Chapter 8 Access control software (i.e., assignment of access rights to employees) Selection, hiring, and supervision of billing clerks to ensure that they can and do carry out their assigned responsibilities Physical controls for perimeter, building, and computer facilities to prevent loss or destruction of the computer resources Preventive maintenance of computer hardware to ensure reliability and availability Systems development life cycle (SDLC), including testing and approval before implementation of new or revised programs…arrow_forwardThe following is a list of 12 control plans from Chapter 8. These are followed by a list of 10 B/AR/CR business process controls or deficiencies. Match the 10 B/AR/CR business process control plans with a pervasive control plan from Chapter 8 that could prevent the deficiencies noted in the preceding list or have an impact on the successful execution of the business process control. Explain the impact that the pervasive control could have. Control Plans from Chapter 8 Access control software (i.e., assignment of access rights to employees) Selection, hiring, and supervision of billing clerks to ensure that they can and do carry out their assigned responsibilities Physical controls for perimeter, building, and computer facilities to prevent loss or destruction of the computer resources Preventive maintenance of computer hardware to ensure reliability and availability Systems development life cycle (SDLC), including testing and approval before implementation of new or revised programs…arrow_forward
- PHYSICAL CONTROLSUsing the flowchart of a purchases system for Problem8, identify six major physical control weaknesses in the system. Discuss the unmitigated risks associated with each weakness.arrow_forwardThe following is a list of six control plans from this chapter, and these are followed by a list of five definitions or descriptions of control plans. Match the five definitions or descriptions with a control plan that best matches the definition. Because there are six control plans, you should have one letter left over. Control Plans A. Limit checks B. Tickler files C. Public key cryptography D. Compare input data with master data E. One-for-one checking F. Manual reconciliation of batch totals (hash totals) Definitions or Descriptions 1. Determines if a customer number has been input correctly. 2. Ensures that transmitted messages can be read only by authorized receivers. 3. A control plan that confirms a value that was entered is within a valid range. 4. An area (electronic or manual) where documents or other items are stored that need follow-up. 5. Used to detect changes in batches of events to ensure the validity, completeness, and accuracy of the batch.arrow_forwardThe following is a list of six control plans from this chapter, followed by a list of five situations that have control implications. Match each of the five situations with a control plan that would best prevent the system failure from occurring. Because there are six control plans, you should have one letter left over. Control Plans A. Service level agreements B. Clear desk and locked door policy C. User manuals D. Biometric identification systems E. Program change controls F. Personnel termination control plans Control Situations 1. The customer service representatives at Everyday Supplies, a catalog sales company, have been complaining that the computer system response time is very slow. They find themselves apologizing to customers who are waiting on the phone for their orders to be completed. 2. George and Mike have been friends for many years. Henry works in the shipping department at Superior Company, an electronics wholesaler, and Mike is unemployed. To make a little money, Mike borrowed Georges employee badge (it has a magnetic strip on the back to open doors at Superior Company) and used the badge to access the Superior warehouse and steal some electronics gear. 3. At Bedrock Company, most transaction processing is automated. When an inventory item reaches its reorder point, the computer automatically prints a purchase order for the economic order quantity (EOQ). A programmer, who was in collusion with 3D-Arm, Inc., the vendor that supplied several parts, altered the computer program and the inventory master data for those parts. He reduced the EOQ and made certain program alterations, so that items supplied by 3D-Arm were ordered more often than Bedrock required them. 4. The data entry clerk in the accounts payable department at Martini Company did not have detailed instructions for completing the input form for approved vendor invoices. To speed up data entry, he let all of the date information default from the current days date. As a result, several invoices were paid late, and Martini Company lost cash discounts on several other vendor payments. 5. During a normal workday, James, who was not an employee, entered Tortora Companys offices and was able to find and remove some computer printouts containing user IDs and other sensitive information. He later used that information to gain access to Rowleys computer system.arrow_forward
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