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Management Incentives, Financial Statements, and Ethics Alicia Perez was controller of the vascular products division of a major medical instruments company. On December 30,2012, Perez prepared a preliminary income statement and compared it with the 2012 budget: (TABLE CANT COPY) The top managers of each division had a bonus plan that paid each a $10 \%$ bonus if operating income exceeded budgeted income by more than $20 \%$. It was obvious to Perez that the vascular products division had easily exceeded the $$\$ 180,000$$ of operating income needed for a bonus. In fact, she wondered if it would not be desirable to reduce operating income this year-after all, the higher the income this year, the higher top management is likely to set the budget next year. Besides, if some of December's sales could just be held back and recorded in January, the division would have a running start on next year. Perez had always been a team player, and she saw holding back sales as the best strategy for her team of managers. Therefore, she recorded only $$\$ 1,500,000$$ of sales in 2012 - the other $$\$ 100,000$$ was recorded as January 2013 sales. Operating income for 2012 then became $$\$ 250,000$$ and there was a head start of $$\$ 50,000$$ on 2013's operating income. Comment on the ethical implications of Perez's decision.

   Management Incentives, Financial Statements, and Ethics
Alicia Perez was controller of the vascular products division of a major medical instruments company. On December 30,2012, Perez prepared a preliminary income statement and compared it with the 2012 budget:
(TABLE CANT COPY)
The top managers of each division had a bonus plan that paid each a $10 \%$ bonus if operating income exceeded budgeted income by more than $20 \%$. It was obvious to Perez that the vascular products division had easily exceeded the $$\$ 180,000$$ of operating income needed for a bonus. In fact, she wondered if it would not be desirable to reduce operating income this year-after all, the higher the income this year, the higher top management is likely to set the budget next year. Besides, if some of December's sales could just be held back and recorded in January, the division would have a running start on next year.

Perez had always been a team player, and she saw holding back sales as the best strategy for her team of managers. Therefore, she recorded only $$\$ 1,500,000$$ of sales in 2012 - the other $$\$ 100,000$$ was recorded as January 2013 sales. Operating income for 2012 then became $$\$ 250,000$$ and there was a head start of $$\$ 50,000$$ on 2013's operating income. Comment on the ethical implications of Perez's decision.
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Introduction to Financial Accounting
Introduction to Financial Accounting
Charles T. Horngren,… 11th Edition
Chapter 3, Problem 52 ↓

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This is done to avoid setting a higher benchmark for the next year's budget and to secure a good start for the next year. This decision is driven by the incentive structure that rewards managers with a bonus if operating income exceeds the budgeted income by more  Show more…

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Management Incentives, Financial Statements, and Ethics Alicia Perez was controller of the vascular products division of a major medical instruments company. On December 30,2012, Perez prepared a preliminary income statement and compared it with the 2012 budget: (TABLE CANT COPY) The top managers of each division had a bonus plan that paid each a $10 \%$ bonus if operating income exceeded budgeted income by more than $20 \%$. It was obvious to Perez that the vascular products division had easily exceeded the $$\$ 180,000$$ of operating income needed for a bonus. In fact, she wondered if it would not be desirable to reduce operating income this year-after all, the higher the income this year, the higher top management is likely to set the budget next year. Besides, if some of December's sales could just be held back and recorded in January, the division would have a running start on next year. Perez had always been a team player, and she saw holding back sales as the best strategy for her team of managers. Therefore, she recorded only $$\$ 1,500,000$$ of sales in 2012 - the other $$\$ 100,000$$ was recorded as January 2013 sales. Operating income for 2012 then became $$\$ 250,000$$ and there was a head start of $$\$ 50,000$$ on 2013's operating income. Comment on the ethical implications of Perez's decision.
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Key Concepts

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Budgetary Manipulation
Budgetary manipulation refers to the intentional alteration of figures within financial reports or budgets to favorably influence performance evaluations and future expectations. This practice can distort management decision-making, lead to misaligned incentives, and ultimately compromise the integrity of financial information, making it difficult for stakeholders to gauge true performance.
Ethics in Financial Reporting
Ethical financial reporting is foundational to maintaining trust between an organization and its stakeholders. Accountants and managers are expected to adhere to professional and ethical standards, ensuring that financial information is accurate, objective, and transparent. Failing to do so can lead to misleading reports that distort a company’s performance and erode stakeholder confidence.
Revenue Recognition Principle
This principle dictates that revenue should be recorded in the period in which it is earned, not necessarily when cash is received. Adhering to this principle is critical to ensuring that financial statements present a true and fair view of a company’s operations, which is essential for stakeholders who rely on accurate and consistent reporting.
Management Incentives and Bonus Schemes
Management incentives, such as bonus schemes based on specific financial targets, can profoundly affect decision making. When compensation is directly tied to short-term performance metrics, it may encourage managers to engage in actions that manipulate reported figures, compromising the long?term health of the organization and ethical standards.
Earnings Management
Earnings management involves the deliberate manipulation of financial results to meet specific targets or expectations. This practice undermines the reliability of financial statements by distorting the true economic performance of a business, and it raises significant ethical concerns by prioritizing personal or managerial gain over transparency and accuracy.

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Linda Ellis, division manager, is evaluated and rewarded based on budgetary performance. Linda, her assistants, and the plant managers are all eligible to receive a bonus if actual divisional profits are between budgeted profits and 120% of budgeted profits. The bonuses are calculated as a fixed percentage of actual profits. Profits exceeding 120% of budgeted profits earn a bonus at the 120% level (there is an upper limit on bonus payments). If actual profits are lower than budgeted profits, no bonuses are awarded. Consider the following actions taken by Linda: a. Linda tends to overestimate expenses and underestimate revenues. She believes that this approach helps the division achieve budgeted profits. Linda justifies her actions by stating that it increases the likelihood of receiving bonuses and boosts the morale of the managers. b. Suppose that towards the end of the fiscal year, Linda realizes that the division will not achieve budgeted profits. Consequently, she instructs the sales department to postpone the closing of several sales agreements to the following fiscal year. She also decides to write off some inventory that is nearly worthless. By deferring revenues to the next year and writing off inventory in a no-bonus year, Linda increases the chances of receiving a bonus in the next year. c. Assume that towards the end of the year, Linda anticipates that actual profits will likely exceed the 120% limit. In this case, she takes actions similar to those described in Item b. Conceptual Connection: Comment on the ethics of Linda's behavior. Are her actions right or wrong? What role does the company play in encouraging her actions? Why? Suppose that you are the marketing manager for the division, and you receive instructions to defer the closing of sales until the next fiscal year. What would you do?

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