Part 3: Internal Controls Analysis and Documentation, and Recommendations (2900 word)

3.1 Partial Control Matrix: include at least 7 existing control plans and any (“missing”) control plans for each subsystem examined. These control plans should relate to the “key” or “main” objectives of each of the relevant parts of the client’s sub-system under review.

As the case study will have some necessary constraints that will prevent you designing a perfect system, you will need to identify control weaknesses and inefficiencies inherent in your design and what recommendations or design changes you would suggest to improve the efficiency and effectiveness of the AIS, if some or all of the constraints are reduced.

3.2 Control Matrix Explanation: Describe how each control plan helps (or would help) achieve system goals.

3.3 Control Analysis: Discuss the overall adequacy of controls used in each sub-system under review. Discuss the efficiency and effectiveness of controls (if an operations or information system goal has no plan listed under it on your matrix, why not? Does an expensive control support a single goal? Is this appropriate, in your judgment? Are there control deficiencies in your system design due to cost effect constraints, software incompatibility with your preferred system etc.? If so why is this appropriate, in your judgment? Discuss the mix of preventive, detective, and corrective controls. Form a conclusion as to the quality of the controls, based on the system’s environment and user needs.

3.4 Managerial Recommendations for each sub-system under review: Go beyond a narrow control view to a broader look at how well the system achieves organisational goals, and how it might be incrementally or dramatically reengineered (e.g. by taking advantage of new technologies) to better achieve organisational goals, in the future.

If you recommend changes to your current system design and procedures, prepare a draft of the new procedure(s), and document how the system would change, using a data flow diagram or flow chart. If you recommend a new report, prepare a draft of that report. If you recommend purchase of new hardware or a new software package, indicate either a specific product recommendation, or list several viable options. If you recommend the status quo, justify your recommendation. This segment will complement the discussion of missing controls in part 3.1.

  • For this part, best example would be from page 30 to page 47 from the completed assignment from my friend.
  • Use that format to answer question 3.1 to 3.4 for each of the sub-system.
  • Billing & Account Receivable are together as one, Cash Receipt and Purchasing Process are individual.
  • Reference: 12 – 15 CDU Harvard referencing style (around 3-4 references for each sub-system)
  • For Question 3.4, design 3 new system flowcharts like in my friend’s completed assignment (Appendix 9, 10, 11). Your design will be different from my second member of the group who is doing the middle part of this assignment.

1.2 Executive Summary (no more than 200 words):

Your executive summary should provide an overview of the entire document and highlight a key message, such as actions you are urging that your client to take. There is no single format, but one appropriate way to organize an executive summary might be as follows:

Professional assignment. This should answer the following questions: (Who are you? What was your assignment? What tasks did your group perform?)

  • Purpose of the document (“This report describes our findings and recommendations…”)
  • Results (what your group observed/found)
  • Conclusions (your group’s assessment of the system’s strengths and weaknesses)
  • Recommendations