Module 2 Assignment Hand In Version



This is a copy of the segregation of duties assignment that contains only the questions you need to answer and the forms you are to fill out. Use to submit your assignments. It saves wasted space and paper.

Part 1 – Risk Analysis

Threat Analysis

|External Threats: |Mitigated by SOD? |

|Errors on customer purchase order |No |

| … | |

| | |

|Internal Threats: | |

|Incorrect goods shipped to customer because of picking error |Yes – because of additional |

| |checking |

| … | |

| | |

Part 2 – Assignment of Duties

|Task Assignments |

| |Sales Rep |Sales Support |Accounts |Inventory Clerk |Shipping Clerk |Billing Clerk |

| | |Staff |Receivable | | | |

|1. A customer contacts an Arrowhead employee to receive |√ | | | | | |

|product inquiry information | | | | | | |

|2. A customer contacts an Arrowhead employee to receive a |√ | | | | | |

|quote on a product order | | | | | | |

|3. A customer sends a purchase order to an Arrowhead |√ | | | | | |

|employee | | | | | | |

|4. An Arrowhead employee compares the customer’s purchase |√ | | | | | |

|order to determine if the customer’s master data is in the| | | | | | |

|system and is correct. | | | | | | |

|5. If the customer master data is not in the system or is | |√ | | | | |

|incorrect, then the master sales and distribution data for| | | | | | |

|the customer is entered by an Arrowhead employee. | | | | | | |

|6. If the customer master data is not in the system or is | | |√ | | | |

|incorrect, then the financial data (such as banking | | | | | | |

|information and Arrowhead reconciliation account) for the | | | | | | |

|customer is entered by an Arrowhead employee. | | | | | | |

|7. If the customer master data is not in the system, then |√ | | | | | |

|an Arrowhead employee checks the credit rating of the | | | | | | |

|customer and assigns a credit limit and credit terms. | | | | | | |

|8. An Arrowhead employee checks inventory availability. | |√ | | | | |

|9. If the customer can be extended credit and inventory is|√ | | | | | |

|available, an Arrowhead employee takes the customer’s | | | | | | |

|purchase order and creates a sales order from the quote. | | | | | | |

|10. An Arrowhead employee creates an order acknowledgement| |√ | | | | |

|and sends it to the customer. | | | | | | |

|11. An Arrowhead employee records the sales order.  | | | |√ | | |

|12. An Arrowhead employee creates a picking ticket to fill| |√ | | | | |

|the customer’s order. | | | | | | |

|13. An Arrowhead employee picks the goods from the picking| | | |√ | | |

|ticket. | | | | | | |

|14. An Arrowhead employee creates a packing slip and a | | | |√ | | |

|mailing label. | | | | | | |

|15. An Arrowhead employee puts the packing slip into the | | | |√ | | |

|container with the goods, seals the container and adheres | | | | | | |

|the mailing label to the container. | | | | | | |

|16. An Arrowhead employee moves the goods from the | | | |√ | | |

|inventory control area to the shipping dock | | | | | | |

|17. An Arrowhead employee creates a shipping manifest | | | | |√ | |

|18. An Arrowhead employee places the goods on the truck to| | | | |√ | |

|be shipped | | | | | | |

|19. An Arrowhead employee gives the shipping manifest to | | | | |√ | |

|the truck driver | | | | | | |

|20. An Arrowhead employee creates a shipping document to | | | | |√ | |

|show that the goods have been shipped | | | | | | |

|21. An Arrowhead employee records that the goods have been| | | | |√ | |

|shipped | | | | | | |

|22. An Arrowhead employee creates an invoice with a | | | | | |√ |

|remittance advice and sends it to the customer | | | | | | |

|23. An Arrowhead employee receives the payment from the | | | | | |√ |

|customer with the returned remittance advice | | | | | | |

|24. An Arrowhead employee records the payment from the | | | | | |√ |

|customer | | | | | | |

|25. An Arrowhead employee takes all of the payments for | | | | | |√ |

|that day and makes up a deposit slip for the bank | | | | | | |

|26. An Arrowhead employee deposits the cash in the bank. | | | | | |√ |

|27. An Arrowhead employee reconciles bank deposits with | | | | | |√ |

|the cash receipts on a daily basis. | | | | | | |

The first two parts above constitute the first assignment of the module. Be sure to submit the assignment in the format we provided.

Part 3 – Authorization Matrix

|Document\Person |Sales Employee |Person 2 |Person 3 … |

|Sales inquiry |C, U, D, R | | |

|Sales quote |C, U, A, R | | |

|Credit authorization |R | | |

|Sales order |C, U, A, R | | |

|Sales order acknowledgement |R | | |

|Picking ticket |R | | |

|Packing slip |R | | |

|Shipping manifest | | | |

|Shipping report |R | | |

|Invoice |R | | |

|Record of payment from customer |R | | |

|Returned Remittance Advice | | | |

|Bank deposit slip | | | |

Part 4 – Implementation in an ERP System

Question 4.1: Be sure to read this documentation. Write a short summary (in your own words) about what the role entails. What are this person’s job functions? (Remember, cutting and pasting is cheating).

Question 4.2: Under what circumstances would you issue the A/R Accountant role to an employee?

Question 4.3: When would it be better to just issue the A/R Post Accounts Receivable Invoices role to an employee rather than the A/R Accountant role?

Question 4.4: What does this allow the user to do? In other words, what are this user’s job functions?

Question 4.5: A new session is started. Examine the Menu tab again. What has changed?

Question 4.6: What does the Activity field allow the user to do? What activities is the user not allowed to do? Explain the reasoning behind this configuration. (Hint: double click on the values to see all values allowed.)

Question 4.7: Now look at the Account Type field. What is the purpose of this field? Can you explain how the values could be changed in this field under different business circumstances?

Question 4.8: What happened? Why?

Question 4.9: This allows you to analyze why the transaction failed authorization. Briefly analyze why the previous transaction failed. Why don’t you as a user have authorization to do this?

This completes the second assignment of the module.

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Accounting Information Systems

Module 2 – Segregation of Duties Case Study Using a Revenue Cycle Example – Abbreviated Hand-in Version

Last revised 12/27/2007

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