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Control activities include approvals, authorizations, verifications, reconciliations, reviews of performance, security of assets, segregation of duties, correcting entries, and controls over information systems, as further explained herein
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Approvals, Authorizations, and Verifications (Preventive) Management authorizes employees to perform certain activities and to execute certain transactions within limited parameters In addition, management specifies which activities or transactions require supervisory approval before they are performed or executed by employees A supervisor s approval (either manual or electronic) implies that he or she has verified and validated that the activity or transaction conforms to established policies and procedures
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Reconciliations (Detective) Employees relate different sets of data to one another, identify and investigate differences, and take corrective action when necessary
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Reviews of Performance (Detective) Management compares information about current performance to budgets, forecasts, prior periods, competitors, or other benchmarks to measure the extent to which goals and objectives are being achieved and to identify unexpected results or unusual conditions that require follow-up
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Security of Assets (Preventive and Detective) Access to equipment, inventories, securities, cash, and other assets is restricted; assets are periodically counted and compared to amounts shown on control records
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Control Environment
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Segregation of Duties (Preventive) Duties are segregated among different people to reduce the risk of error or inappropriate action Normally, responsibilities for authorizing transactions, recording transactions (accounting), and handling the related asset (custody) are divided
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Correcting and Reversing Entries (Corrective) Once the detective controls have identified incorrect entries or errors in transactions, the originating department should either correct or reverse the entry to make certain the financial records are accurate In automated systems, the corrections may be performed in real time
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Controls over Information Systems (Preventive and Detective) Controls over information systems are grouped into two broad categories: general controls and application controls General controls commonly include controls over data center operations, system software acquisition and maintenance, access security, and application system development and maintenance Application controls, such as computer matching and edit checks, are programmed steps within application software; they are designed to help ensure the completeness and accuracy of transaction processing, authorization, and validity General controls are needed to support the functioning of application controls Both are needed to ensure complete and accurate information processing Control activities must be implemented thoughtfully, conscientiously, and consistently A procedure will not be useful if performed mechanically, without a sharp, continuing focus on the conditions to which the policy is directed Further, it is essential that unusual conditions identified as a result of performing control activities be investigated and that appropriate corrective action be taken For instance, management may consider the design of online authorizations for purchases and investigate whether all types and values of purchases
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are included in the authorization Operating effectiveness may be evaluated by queries to authorization tables in the system The evaluation may include consideration of general controls, such as system access, and program change controls Management may consider the segregation of duties between personnel who deposit cash receipts and those who prepare bank reconciliations Operating effectiveness may be evaluated by inspecting signatures indicating which personnel deposit cash receipts and which prepare bank reconciliations
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INFORMATION AND COMMUNICATION
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Information and communication are essential to effecting control; information about an organization s plans, control environment, risks, control activities, and performance must be communicated up, down, and across an organization Reliable and relevant information from both internal and external sources must be identified, captured, processed, and communicated to the people who need it, in a useful form and within a useful time frame Information systems produce reports containing the operational, financial, and compliance-related information that makes it possible to run and control an organization Information and communication systems can be formal or informal Formal information and communication systems, which range from sophisticated computer technology to simple staff meetings, should provide input and feedback relative to operations, financial reporting, and compliance objectives; such systems are vital to an organization s success Nevertheless, informal conversations with customers, suppliers, regulators, and employees often provide some of the most critical information needed to identify risks and opportunities When assessing internal control over a significant activity (or process), the key questions to ask about information and communication are:
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Do departments get the information they need from internal and external sources in a form and time frame that are useful Do departments get information that alerts them to internal or external risks (eg, legislative, regulatory, and developmental matters)
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