Discussions Results and analysis

2217 Contrary to the old assessment system, SAS assumes taxpayers to have sufficient knowledge to assess own income and compute correct tax liability. Since the beginning of SAS implementation, taxpayers were not given any option. Regardless of the level of their knowledge, they have to furnish correct tax returns and pay the correct amount of tax. Under such assessment system, it is necessary to educate taxpayers and ensure that they possess necessary knowledge to perform their duties. The results in this study demonstrate the necessary knowledge that must be possessed by all taxpayers. Indeed, it is believed that a general and well accepted measure of tax knowledge could be developed and used by tax authority in order to evaluate the level of tax knowledge among taxpayers. This could be done based on the dimensions of tax knowledge identified in this study. 6.0 Recommendation and Conclusion Taxpayers ‘ responsibilities have been drastically expanded with the introduction of SAS. For an ordinary taxpayer who has not received formal tax education, the new task will more or less places burden and requires time and efforts to ensure that it is well performed Saad et al., 2003. In fact, taxation is complex and with the rapid change in tax provisions, it is not possible for taxpayers to comprehend fully all tax laws and regulations governing their tax matters. Hence, due to lack of knowledge in taxation, taxpayers may be exposing themselves to tax risk. This is because under SAS, tax authority will carry out tax audit to determine whether taxpayers had complied with the tax laws and regulations. Thus, any violate from the laws and regulations are regarded as non-compliance and will be penalised. Even though tax knowledge is complex and become obsolete easily due to changes in tax provisions, nevertheless, it can be divided into less complex elements as reflected by the results in this study. Each aspect in the dimensions will form as the basic knowledge that must be made known and understood by all taxpayers. Later, any changes can be easily updated form time to time. This basic knowledge is also the basis for planning own tax matters i.e. legal ways 2218 to minimise tax liability. Thus, this study may provide useful insight to policy makers or tax authorities. It has shown the basic knowledge in taxation that should be imparted to all taxpayers. In addition, taxpayers must be made aware that learning taxation is a continuous process because it needs to be updated regularly. Thus, better strategies have to be designed and implemented to inculcate tax knowledge based on the dimensions identified. References Alexander, D. C. 1974. Facilitating the self-assessment income tax system. The CPA Journal pre-1986, 44, 9-10. Anderson, J.R. 1993. The architecture of cognition. Cambridge, MA: Harvard University Press. Ang, C.L. 2000. 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Appendix A NECESSARY ASPECTS OF TAX KNOWLEDGE  Tax return submission date.  Due date to settle tax payment.  Types of assessment i.e. joint or separate.  Person chargeable to income tax.  Types of income subjected to tax.  Types of income exempted from tax.  The amount of income exempted from tax.  Meaning of income terms in taxation such as aggregate income, total income and chargeable income.  The steps involve in computing tax payable.  Assessment period for employment income.  Types of employment income.  Types and amount of allowable donation and gifts.  Types of relief.  The amount of relief.  Entitlement to relief.  Types of individual tax rebates.  The amount of tax rebates.  Tax rates.  Use of tax rate table.  The length of period to keep proper record and document. 2222  Types of record and document to keep.  Relevant public rulings.  Requirement to comply with the public rulings.  Types of offences subjected to penalty. 2223 USING MATHEMATICS TO TEACH ACCOUNTING PRINCIPLES Sony Warsono, Universitas Gadjah Mada Arif Darmawan, Cherry Corner, Yogyakarta Muhammad Arsyadi Ridha, Cherry Corner, Yogyakarta ABSTRACT: As widely acknowledged, Luca Pacioli discussed accounting in his mathematics book Summa de Arithmetica, Geometria, Proportioni et Proportionalita. Using the perspective of mathematics, this paper shows that the majority of available accounting principles literature employs accounting equations positioning the elements of both assets and expenses in opposite accounting equations, rather than placing the two elements in the same side of the accounting equation. More than just offering consistent rationality, the use of mathematics rationality will make it much simpler to explain why the elements of assets and expenses should receive the same treatment in relation to debits and credits. Furthermore, this paper shows that the rules of debits and credits are entirely based on mathematical logics. Finally, this paper proposes the need for learning accounting from the perspective of mathematics, in addition to those of GAAP and engineering skills. Keywords: Accounting education methods; definition of equity; expanded accounting equations; mathematics rationality; rules of debits and credits; mathematics-oriented study of accounting principles INTRODUCTION A large number of accounting software generate information which is reliable and relevant, comply with generally accepted accounting principles GAAP, and fulfill the various needs for corporate financial information. The development of the accounting software must have involved many professionals other than accountants, including programmers who are used to mathematical thinking. These programmers are able to understand the workings of accounting even without having to study it in detail. Accordingly, there must be some methods which can be employed to teach accounting principles at college level to supplement the current teaching because the latter has been questioned in terms of its effectiveness due to some inappropriateness in the methods of learning accounting principles. This paper employs the perspective of mathematics in solving crucial issues which typically come to the surface in class discussions about accounting principles. Discussions about accounting principles teaching methods are always appealing. The traditional teaching of accounting has been criticized in many countries Duff and McKinstry 2007 because they are considered either too narrow procedural Patten Williams 1990; Nelson 1995 or unable to catch up with current development in business to the extent that students can hardly receive any perfect picture of the real business world Adler 1999. A number of experts have questioned the importance of teaching of debits and credits in classes of accounting principles because it is considered too mechanical, unintuitive, and forcing the student to rely on memory only Ingram 1998, and susceptible of providing an incorrect picture about accounting to students who do not major in accounting Pincus 1997; Diller-Hass 2004. Furthermore, the double-entry system in accounting has experienced a significant decrease in relevance with the advent of software which is capable of providing a variety of information without having to set up general ledgers Elam 1995 in Pincus 1997. On the other hand, a number of other experts have tried to maintain the teaching of debits and credits in accounting principles because debits and credits are believed to be ―part of the vocabulary in our language‖ Wallace 1997, 230, and because debits and credits are an indispensable part in the learning process of accounting Vangermeersch 1997. A great number of experts have been discussing the need of changes in the teaching methods of accounting Rankin et al. 2003; Hartnett et al. 2004. Albrecht and Sack 2000 stated that the study of accounting needs to be modified to catch up with changes in technology 2224 and globalization. Saudagaran 1996 and Springer and Borthick 2004 noted that the traditional curriculum of a ccounting, which emphasizes memorizing skills, may actually hinder the student‘s effort to develop the requisite competencies in accounting, such as critical thinking. The AECC has suggested the needs for restructuring accounting principles through learning by using a user model instead of a preparer model in Lee and Bisman 2006. The user model was perceived to be able to provide the student with a better understanding of the concept of accounting Baldwin and Ingram 1991; Bernardi and Bean 1999. Other researchers suggested the use of information technology to improve the effectiveness of accounting study Elliot, 1992; Pincus 1997; Mohamed and Lashine 2003; David et al. 2003; Goldwater and Fogarty 2007. Even though the business has experienced dynamic changes, the study of accounting remains essentially the same Albrecht and Sack 2000; Sangster, et al. 2007, passive Bonner 1999; Boyce et al. 2001, procedural Dempsey and Stegmann 2001, inadequate in equipping the student with the necessary competencies Mohamed and Lashine 2003, and relying merely on a one-way direction of knowledge distribution Williams 1993; Saunders and Christopher, 2003. This traditional learning of accounting makes accounting books look similar to one another Sullivan and Benke 1997 which in turn make accounting less than appealing to the student. For the next ten years there will be a shortage of faculty members with Ph.D‘s AACSB β00γ. The shortage of American lecturers and doctorate students in accounting ―already exists and may grow‖ Plumlee et al. β006, 11γ. Fogarty and εarkarian β007 indicate that there has been a decrease in the number of accounting lecturers – one that may escalate to a serious problem of sustainability for the discipline of accounting. Furthermore, there is an increasing number of students who decide to major in accounting after enrolling in a university Nelson et al. 2008. The Teaching and Curriculum Section of the American Accounting Association states that research into the history of accounting may provide a precious lesson to comprehend the discipline of accounting in Sangster et al. 2007. In line with this idea, this paper employs the perspective of mathematics to discuss important topics in accounting principles. As widely acknowledged, Luca Pacioli is a university professor of mathematics who discusses accounting in his book Summa de Arithmetica, Geometria, Proportioni et Proportionalita Sangster et al. 2007. Using the perspective of mathematics, this paper presents solutions which would make the goal of learning accounting attainable, that is, by introducing the student to the fact that accounting is in reality a much appealing knowledge that would encourage the student to try to find out more about it. Actually, the mathematical perspective has been employed in a number of accounting books, but it is seldom mentioned explicitly, and sometimes it is used inconsistently. On the basis of some observations on the majority of literature on accounting principles, the present paper concludes that only a few books state with enough emphasis that accounting is one of the sciences that based on mathematics. This paper also concludes that the majority of available literature employs accounting equations positioning the elements of both assets and expenses in opposite accounting equations, rather than placing the two elements in the same side of the accounting equation, even though both equations are mathematically correct. Furthermore, this paper shows that the rules of debits and credits are entirely based on mathematical logics. Finally, this paper discusses the need for learning accounting from the perspective of mathematics, in addition to those of GAAP and engineering skills. THE DEFINITION OF EQUITY Accounting is based on the basic equation that assets equal to liabilities plus equity. Equity is a residual interest, namely the arithmetic difference between assets and liabilities Alfredson et al. 2007. This definition of equity is intended to maintain a balance between the left side and the right side of the accounting equation. However, most books of accounting principles simplify the definition of equity as ―owner‘s equity,‖ which reflects the owner‘s claim 2225 over the firm. The use of the term ―owner‘s equity‖ narrows the real meaning of equity. In general, primarily at the formation of a firm, the element of equity is likely to be the owner‘s investment. Under certain circumstances, however, equity may come from grants, donations, or aids from the government or other outside parties which may not be categorized as owners. In other words, the us e of the term ―owner‘s equity‖ is very likely to raise a dilemma: that the balance in the accounting equation cannot always be attained due to the reception of grants, donations, or government aids w hich do not meet the criteria either liabilities or owner‘s equity. Of course accounting teachers have their own ready answers to this dilemma, but should they give any advanced answers to simple questions posed by accounting novices? A number of textbook s provide an additional description of owner‘s equity as a residual value so that assets always equal the total amount of liabilities and owner‘s equity Horngren et al. 2002; Williams et al. 2005; Anthony et al. 2007; Weygandt et al. 2008. FASB and IASB define equity or net assets as ―the residual interest in the assets of an entity that remains after deducting all its liabilities‖ FASB 1985, par. 49; IASB Technical Summary β008. Thus, both standards emphasize that equity is merely a mathematical rule intended to maintain a balance in the accounting equation. Therefore, it is appropriate to use the terms equity, net assets, or residual interest of assets in the study of accounting principles, instead of the term ―owner‘s equity‖ commonly used in accounting principles textbooks. THE RATIONALITY OF ACCOUNTING EQUATIONS Assets are resources under the firm ‘s control, whose funds come from liabilities and equity sources of funds. Accounting conveys the elements of revenues, expenses, and dividends in the accounting equation called expanded accounting equation because the firm conducts business and distributes dividends. The three elements are part of equity; revenues increase equity, while expenses and dividends decrease equity. That is the rationality of the accounting equation employed in most accounting textbooks. The rationality is primarily based on the balance-sheet approach so that other accounting variables including revenues and expenses are ―considered secondary and derivative‖ Dichev β008, 454. The emphasis on the balance-sheet approach is ―unclear‖ Dichev 2008 and ―requires revaluations that often are not trustworthy‖ AAA‘s Financial Accounting Standards Committee β007. The basic accounting equation can be expressed as equation 1 see Figure 1, and the expanded accounting equation can be expressed as equation 2 see Figure 2. Insert Figure 1 and Figure 2 here Many textbooks employ the basic accounting equation equation 1 to analyze transactions which result in changes in the element of revenues, expenses and dividends Ainsworth et al. 2000; King et al. 2001; Porter and Norton 2001; Warren et al. 2002; Libby et al. 2004; Williams et al. 2005; Anthony et al. 2007. Several of these textbooks write down the expanded accounting equation equation 2 in their books Horngren et al. 2002; Weygandt et al. 2008. Is there any rationality inappropriateness in the existing textbooks in their explanations of the accounting equation? Although the expanded accounting equation equation 2 is mathematically correct, the rationality which applies to equation 1 is applied in an inconsistent manner to equation 2 because the elements of expenses and dividends are not sources of funds. In other words, the rationality employed to explain basic accounting equation is different from that employed to explain expanded accounting equation. Learning which employs different rationalities to explain two things which in essence are closely related is liable to confuse students. 2226 Ingram 1998 employs equation 3 see Figure 3 to simplify the understanding of the logics of debits and credits. However, it is hard to find textbooks which express accounting equation as expressed in equation 3 although mathematically equation 2 and equation 3 are both correct. Therefore, it is interesting to find the rationality of the accounting equation expressed in equation 3 because mathematically it is more proper to place elements with the same signs positive or negative on the same side. For the sake of simplicity, this paper calls the rationality of equation 3 as mathematical rationality, while this paper calls the rationality of equation 2 as conventional rationality. Insert Figure 3 here Subramanyam and Wild 2009 and Anthony et al. 2007 state that the basic accounting equation can be perceived as sources and uses of fund. Therefore, by using the mathematical rationality, the left side of equation 3 reflects the uses of fund, while the right side reflects the sources of fund. The company uses the funds to acquire assets, pay expenses andor distribute dividends with funds taken from the sources of liabilities, equity, andor revenues. This mathematical rationality can consistently explain both the basic accounting equation equation 1 and the expanded accounting equation equation 3. Vangermeersch 1997 noted that revenues and expenses are separate elements, and not subdivisions of equity. Therefore, the placement of revenues, expenses, and dividends on the same side equation 2 is a compulsion that runs the risk of confusing the student. Besides raising the problem of inconsistency in the rationality of accounting equation, two additional reasons make the use of equation 2 unacceptable. First, by definition equity is limited to a residual interest or net assets to the effect that there is no appropriate justification for an explanation as to why the element of revenues, expenses, and dividends should belong to equity. Secondly, the attachment of one element to the other may result in their being less than optimal. Analogizing the approaches of data management in the computer system, the database approach provides information which is more up-to-date, standardized, and easier to access than the application-oriented approach because the database approach separate data from their application software Romney and Steinhart 2009. More than just offering consistent rationality, the use of equation 3 will make it much simpler to explain why the elements of assets and expenses should receive the same treatment in relation to debits and credits even though by definition assets and expenses markedly differ from one another; assets represent sources which provide future benefit, while expenses represent a sacrifice of assets FASB 1985. Moreover, the use of equation 1 or 2 forces the student to think twice when identifying changes in the accounts due to expense transactions and dividend transactions; the recognition of expenses dividends make expense dividend accounts increase, but must be recorded as a decrease because expenses dividends decrease equity. This is an unnecessary step and is liable to raise confusion to the student especially when he or she should identify accounts which must be debited or credited. Unlike equation 1 or 2, the use of equation 3 dispenses with this unnecessary step and minimizes confusion in the student ‘s mind when identifying debit or credit accounts. THE RULES OF DEBITS AND CREDITS The rules of debits and credits have been much debated by experts. In their consideration, the mechanism of debits and credits does not make sense ―debits and credits are nothing more than pluses and minuses‖, Ingram 1998, 411, demands the student simply to memorize Pincus 1997, is too narrowly procedural Patten and Williams 1990; Nelson 1995, 2227 and is liable to convey a mistaken picture about accounting to the student Pincus 1997; Diller- Haas 2004. As far as we know, all accounting textbooks discuss these rules of debits and credits. A number of textbooks state that the rules of debits and credits are arbitrary Anthony et al. β007, a rule of thumb Williams et al. β007, or customs ―like the custom of driving on the right- hand side…‖ Weygant et al. β008, 49. Other textbooks briefly describe these rules by providing mathematical illustrations expecte d to facilitate the student‘s understanding Ainsworth et al. 2000. Nevertheless, the description ends up with an appeal that the student simply memorizes the rules Walther 2009. From the mathematical perspective, this debit and credit mechanism actually has an argument which is very clear and easily understandable to the student. In essence, this debit and credit mechanism represents a consequence of the accounting equation whose recording is reflected in the double-entry system. Why should the asset accounts be debited when they increase and credited when they decrease? We can get an answer to that question by taking a close look at the following figures and its two illustrative cases. Insert Figure 4 here Figure 4 indicates the position of each element in the accounting equation: assets, expenses, and dividends on the left debit side of the equation, while liabilities, equity, and revenues on the right credit side. Insert Figure 5 here Case A see Figure 5: Suppose Company A purchases supplies on account. This transaction engenders changes in the Supplies account and the Account payable account; both accounts increase. The Supplies account is recorded on the debit side, while the Account payable account is recorded on the credit side. This is in line with the position of each account in the accounting equation. Insert Figure 6 here Case B see Figure 6: Suppose Company A purchases supplies in cash. This transaction engenders changes in the Supplies account and the Cash account; the Supplies account increases, while the Cash account decreases. In this case, both accounts are assets. To maintain internal consistency mathematically, the Supplies account must be debited because the supplies account is an element of assets; assets have positive values, and are on the left debit side of the accounting equation. Next, following mathematical rules, the Cash account must be credited because of a decrease in cash as a result of the transaction. Insert Figure 7 here Case C see Figure 7: Suppose Company A converts its notes payable into bonds. This transaction engenders changes in the Notes payable account and the Bonds payable account; the Bonds payable account increases, while the Notes payable account decreases. In this case, both accounts are liabilities. To maintain internal consistency mathematically, the Bonds payable 2228 account must be credited because the bonds payable account is an element of liabilities; liabilities have positive values, and are on the right credit side of the accounting equation. Next, following mathematical rules, the Notes payable account must be debited because of a decrease in notes payable as a result of the transaction. Analogyzing the transactions in Case B and C, we establish the rules of debits and credits for other elements of the expanded accounting equation. This rule has been in force in accounting now. Therefore the debit and credit rule is based on a mechanism which entirely follows the mathematical logics. In our experience, students can understand and accept this debit and credit rule more easily than if they have to memorize it. In other words, the use of the mathematical perspective has made irrelevant the assumption that the debit and credit rule is something that should be memorized. With a good reasoning, students may find it easier to apply the debit and credit rule to all kinds of algebraic equations, not just in relation to accounting equation. It is true that the debit and credit rule is essentially mechanical. Is it relevant, then, that this debit and credit rule be taught in classes of accounting principles? It is still relevant. First, the debit and credit rule conveys a picture to the student that accounting is based on established knowledge, especially mathematics. Second, as computer science with its binary digits 0 and 1 and the science of electricity with its ―on‖ and ―off,‖ accounting is endowed with debits and credits as a unique knowledge, which is used only in accounting. Third, debits and credits can be used to enhance the concreteness of knowledge of accounting; the study of debits and credits tangibilizes the workings of accounting. Tangibilizing accounting mechanizm is important to help the student understand accounting topics related to keeping journals, posting, which are indeed in the heart of accounting as an academic discipline. Fourth, as accounting students are expected to compile or construct information, not just to use information, they must have acquired basic knowledge of data processing into some useful information Vangermeersch, 1997. Fifth, knowledge of debits and credits encourages the student to think systematically and logically, and to develop the knowledge about accounting dynamics as a fast growing science through the implementation of mathematical knowledge. THE USE OF THE WORKSHEET Learning about the worksheet is one of the important topics discussed in textbooks about accounting principles because it can give a clear picture of the process of compiling financial statements. The worksheet format can be designed in a variety of ways as long as it helps in the compilation of financial statements. The 10-column worksheet format is one of the numerous worksheet formats that for a long time had been in common use in accounting textbooks Porter and Norton 2001; Williams et al. 2005; Weygandt et al. 2008. Walther 2009 discusses the use of the 12-column worksheet one with 10 columns plus 2 additional columns for statements of retained earnings. The use of the 10-column format as well as the 12-column one reflects the application of mathematics in accounting. Nevertheless, there are ―tricks‖ in the recording of net income in the Net income column and the Balance sheet column in the worksheet. When the firm gets profits, the amount of the monetary profits is recorded on the left side of the Net Income column to maintain balance between the debit and credit sides of the Net Income column, but then must be recorded on the credit side of the Balance sheet column, or the other way round when the company undergoes losses. This rule indicates inconsistency in the mathematical application, which is liable to confuse the student see Table 1. Insert Table 1 here 2229 One way among many that can be employed to dispense with this inconsistency is the use of a 12-column worksheet, consisting of a 10-column worksheet plus 2 columns for closing entries. In addition to its usefulness to dispense with the inconsistency of the 10-column worksheet, the 12-column worksheet is also useful for the study of accounting. Firstly, the provision of the 2 columns for the closing entries indicates that closing entries are among the important activities in accounting without which the balance of nominal accounts would be carried to the next period. Secondly, the 12-column worksheet engenders the Income Summary account, which comes out due to the existence of the closing entries. This Income Summary account is important to show the firm‘s profit or loss. Thirdly, the 12-column worksheet conveys the up-to-date balance of the retained earnings account so that the Balance sheet column in the worksheet helps a lot in compiling the financial statements see Table 2. Insert Table 2 here MATHEMATICS-ORIENTED STUDY OF ACCOUNTING PRINCIPLES There are still many important topics about the accounting principles that can be explained mathematically. Our experience indicates that when told that the primary working of accounting is based on mathematics, the student can understand accounting topics more easily, including adjusting entries –whose debits and credits have often become an object of complaint on the part of the students Pincus 1997 – and the crucial problem of closing entries. Accounting is a tool to attain a particular aim Ingram 1998. In other words, accounting should be treated like technology. As a technology, accounting can be made analogous to aircrafts, computers, or any other technological products. Those technologies are developed systematically, logically, and on the basis of sciences whose validity has been so well established that they are capable of growing even further and giving a vast contribution to the humankind. We argue that the development of accounting is affected by three interrelated pillars: a. Mathematics; this pillar should be firmly founded upon which accounting may grow. b. Generally accepted accounting principles GAAP; this pillar serves to ensure that the development of accounting could be well understood and accepted by the users. c. Engineering skills; this pillar provides a space for the user for developing the kind of accounting that is most suitable to his wants and needs. The development of accounting should be done through the development of the three pillars mentioned above. The tremendous growth of the business world has likewise increased the complexities of accounting and financial reporting. Up to now the development of accounting GAAP regulations has been intensively done with the hope that such a development may provide the necessary solutions to existing problems. Nevertheless, ―we cannot expect regulation to completely protect investors‖ Scott β009, 15. Therefore, it is expected that a development that gives preeminence to the mathematical pillar would enable accounting to give a significant contribution to mankind. The addition of the revenues and expenses elements would make accounting study dynamic Vangermeersch 1997. By using the mathematical perspective, it is expected that accounting study would be more dynamic and capable of inviting the student to develop 2230 accounting knowledge, rather than to be content with understanding accounting simply as a rule of play established by the business game. The use of the mathematical perspective can also be an initial step toward the development of new models of determining monetary values in financial statements, which up to now have been considered within the competence of other fields. CONCLUSION Historically, accounting was based on mathematical knowledge as codified in Luca Pacioli‘s book of mathematics. Using the mathematical perspective, the present paper reviews several basic issues in textbooks of accounting principles commonly employed so far, and presents a rationality based on clear arguments over the rules of debits and credits. By designing a mathematics-oriented learning, it is expected that the study of accounting principles would be dynamic and capable of developing the capacities for inquiry, abstract logical thinking, and critical analysis AECC 1990. 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McGraw-HillIrwin. 2234 Figure 1: Basic Accounting Equation Figure 2: Expanded Accounting Equation – Convensional Rasionality Figure 3: Expanded Accounting Equation – Mathematic Rasionality Assets = Liabilities + Equity ....equation 1 Assets = Liabilities + Equity + Revenues – Expesenses – Dividends ....equation 2 Assets + Expenses + Dividends = Liabilities + Equity + Revenues ....equation 3 2235 Figure 4: Position of Each Elements of Expanded Accounting Equation Figure 5: Analysis of Transaction of Purchasing Supplies on Account Figure 6: Analysis of Transaction of Purchasing Supplies in Cash Figure 6: Analysis of Transaction of Purchasing Supplies in Cash Figure 7: Analysis of Transaction of Debt Conversion Dr ASSETS + EXPENSES + DIVIDENDS = LIABILITIES + EQUITY + REVENUES Cr ASSETS + EXPENSES + DIVIDENDS + LIABILITIES + EQUITY + REVENUES + Dr ASSETS + EXPENSES + DIVIDENDS = LIABILITIES + EQUITY + REVENUES Cr Supplies + Increasing, debited Account payable + Increasing, credited Dr ASSETS + EXPENSES + DIVIDENDS = LIABILITIES + EQUITY + REVENUES Cr Dr Supplies Cr Increasing, debited Dr Cash Cr Decreasing, credited Dr ASSETS + EXPENSES + DIVIDENDS = LIABILITIES + EQUITY + REVENUES Cr Dr Bonds Payable Cr Increasing, credited Dr Notes Payable Cr Decreasing, credited 2236 Table 1: The 10-Column Worksheet ACCOUNT S ADJUSTED TRIAL- BALANCE NET INCOME BALANCE SHEET Debits Credits Debits Credits Debits Credits Assets 200,000.0 200,000.0 Liabilities 80,000.00 80,000.00 Capital stock 100,000.0 100,000.0 Dividend 7,000,00 7,000.00 Retained earnings 15,000.00 15,000.00 Revenues 50,000.00 50,000.0 Expenses 38,000.00 38,000.0 Net Income 12,000.0 12,000.00 Total 245,000.0 245,000.0 50,000.0 50,000.0 207,000.0 207,000.0 Net income is not an account. 2237 Table 2: The 12-ColumnWorksheet Including Closing entries ACCOUN TS ADJUSTED TRIAL-BALANCE NET INCOME CLOSING ENTRIES BALANCE SHEET Debits Credits Debits Credit s Debits Credits Debits Credits Assets 200,000 .00 200,0 00.00 Liabilities 80,00 0.00 80,00 0.00 Capital stock 100,0 00.00 100,0 00.00 Dividend 7,000,0 d7,00 0.00 Retained earnings 15,00 0.00 d7,00 0.00 c12,0 00.00 20,00 Revenues 50,00 0.00 50,0 00.00 a 50,00 0.00 Expenses 38,000. 00 38,0 00.00 b38,0 00.00 Net Income 12,0 00.00 Income summary b38,0 00.00 c12,0 00.00 a50,0 00.00 Total 245,000 .00 245,0 00.00 50,0 00.00 50,0 00.00 200,0 00.00 200,0 0.00 Net income is not an account 2238 Ending balance of retained earnings is 20,000.00 beginning balance of retained earnings + Net income – Dividends. The beginning balance of retained earnings is 15,000.00 as shown in the adjusted trial-balance column. Income summary is an important clearing account used to show the number of profit or loss. 2239 FAMILY SUCCESSION AND PERFORMANCE AMONG MALAYSIAN COMPANIES Noor Afza Amran Ayoib Che Ahmad Universiti Utara Malaysia ABSTRACT Family succession is one of the prevalent topics discussed in family management. However, there is lack of research on the issue of succession in Malaysia despite the fact that about 70 of listed companies in Malaysia are owned by family related business. Thus, this study aims to examine the relationship between family succession attributes and firm performance. This study adopted balanced panel data analysis for 975 companies listed on Bursa Malaysia for the year 2003 to 2007. The findings indicate that some of the family succession attributes do influence firm performance. Family ownership was found to be positively related with firm performance. Families are motivated to work efficiently when more shares were in their hands. Furthermore, the results reveal that successors-managed firms have better firm performance than founder-managed firms. The findings provide evidenced that Malaysian family firms do plan for their successions. More importantly, it opens up the possibilities for further study of family succession, both in Malaysia and on global basis. 1.0 INTRODUCTION One of the most prevalent topics in the family business management literature is succession planning Chua, Chrisman Sharma, 2003. Succession planning should be initiated at a very early in the offspring‘s life Davis, 1968; Stavrou, 1999. A proper succession process affords family firms the opportunity to select effective leaders who are capable of rejuvenating their firms Ward, 1987. But it is a difficult tasks to accomplish. Usually, founders either fail or refuse to plan for the succession of the family business Danco, 1982; Ward, 1987. It is also difficult to find a competent family member who is willing to take over the control of the family firm, or the offspring of family managers may be reluctant to join the firm Blotnick, 1984. Other reasons that contribute t o failure in succession are that founder‘s reluctance to plan for succession, founder‘s strong sense of attachment to the firm Kets de Vries, 199γ, fear of retirement and death, lack of other interests by the offspring Levinson, 1971; Starvou, 1999, offspring life stage Ward, 1987, gender and birth order Goldberg Wooldridge, 1993, the offspring competency, involvement in the family firm Davis, 1968 and personality traits Goldberg Wooldridge, 1993. Moreover weaning children to take over the wheel of a firm has become a lot more challenging. There will be a tough challenge for family firms seeking to pass the torch to their children in the future Gabriel, 2007. For instance, the Khind Holdings Bhd Group Chief Executive Officer CEO Cheng Ping Keat, who is the son of the company founder, also 2240 admitted that keeping a family business alive is the toughest management job on earth Damodaran, 2006. There is a Chinese saying that claimed ―wealth does not endure three generations‖. Whether the statement is a coincidence or not, many Asian family firms tend to suffer from this phenomena Ngui, 2002. Wong 1985 argued that a Chinese family firm could seldom last longer than three generations because of the offspring would take their propensity for granted and lack of motivation to sustain the firm. For examples, Tan Chong Motor Holdings Bhd and the Hong Leong Group were firms that faced this kind of conflicts in their second generations. In Tan Chong case, the two Tan brothers Tan Sri Tan Yuet Foh and Datuk Tan Kim Hor have established the Tan Chong Bhd in 1958. Later the conflicts started when Datuk Tan Heng Chew, the eldest son of Yuet Foh, openly clashed with his uncle and cousins in a legal tussle in the Malaysian courts. As a result, family wealth had been divided. Tan Heng Chew was awarded 16.7 stake in Tan Chong Consolidated Sdn Bhd TCCS, the private holding company for Tan Chong Motor Holdings Bhd. His uncle and family patriarch Datuk Tan Kim Hor was given a smaller 10.β9 stake. However, Heng Chew‘s brothers, cousins and mothers were also shareholders of TCCS. Heng Chew was also the chairman of two listed firms within the group: APM Automotive Holdings Bhd and Warisan TC Holdings Bhd. The court judgement strengthen Heng Chew‘s position at the expense of the other family member Datuk Tan Kim Hor. Many of the third-generation in the West has also evolved into managerial corporations. But among Asian families, total professional management in a family company is rare. Nevertheless, the move towards hiring professionals into the family firms is gaining popularity. Therefore, Malaysian family firms have started considering bringing professionals in managing the family firms. For example, Lee Kong Chian, who founded Lee Rubber-OCBC Bank Holdings Ltd, was one of the first family patriarchs to incorporate professional managers in their family firm. That was way back in the 1940s and 1950s. Today, a largely professional team runs the OCBC Bank with little influence by the Lee family, although family members still sit on the board. Another case is that of Public Bank Bhd which is controlled by Tan Sri Teh Hong Piow. The bank is now professionally managed by Teh and his team of managers. Although Public Bank is seen as Tehs creation, but none of his children hold significant positions within the group. Thus, based on the above discussion, are Malaysian family companies ready for succession planning? Does family succession affect the firm performance? Thus, the issue of family succession has motivated the researchers to carry out this study. In Malaysia, a study by Shamsir Jasani Grant Thornton 2002 has briefly 2241 discussed on succession planning. However, the study only provides a brief review on the current practice of family succession descriptively without analyzing the impact of the succession planning and other important business issue such as business financial performance. Hence, this factor has enthusiastically motivates the researchers to carry out this study. The objective of this study is to examine the family succession attributes with firm performance for family firms. This study aims to find out the answers whether there is any association between firm performance and succession attributes. In term of the contribution, this study is expected to increase the level of understanding with regards to family business firms especially in Malaysia. Particularly, this study uses sample of Malaysian public listed firms and the findings may be useful to Malaysian family businesses and the comparison can be made with family firms in other countries. Next, there is a lack of study carried out on family succession in Malaysia and elsewhere. Therefore the findings may explain the current situation on succession planning in Malaysia. It can also provide signals and guidance to the owners of family firms on the readiness of succession planning in Malaysia. In term of the organization of this paper, it is structured as follows. In the introduction section, an overview on family successions is discussed. This is followed by the discussion on the motivation, objective and contribution of the study. The next part discusses the theoretical framework and hypothesis developments. Then research methodology is then explained in the next section. Followed by a section on results and discussions. The last section concludes and provides the implications of the study on academic and practice.

2.0 THEORETICAL AND HYPOTHESES DEVELOPMENT

2.1 FAMILY SUCCESSION

Family firms need to plan ahead in making sure the family firms will sustain for next generations. In planning for succession, factors such as family ownership, hiring professional manager or family director, successor‘s education level, foundersuccessor‘s age and gender need to be considered in ensuring a successful family business succession. Family ownership Based on the agency theory, family ownership is claimed to be efficient in minimising agency problems because shares are in the hands of agents who have special relations with other decision agents that allow agency problems to be controlled without separation of the management and control decisions. Further, family members have many dimensions of exchange with one another over a long horizon, and therefore, have advantages in monitoring and disciplining the agents Fama Jensen, 1983. 2242 In family firms, ownership is concentrated in the hands of family firms, therefore the risk of free riding is likely to diminish Shleifer Vishny, 1997. Jensen and Meckling 1976 and Fama and Jensen 198γ supported that a family‘s involvement in ownership and management could shun the problem of possible exploitative behaviour of the agent towards the principal, and minimise the supervision costs. While Gorriz and Fumas 1996 evidenced that agency costs are minimized when shares are concentrated in a few owners and these owners do all the decision process. According to stewardship theory, ownership and control concentration is one of the factors that influence the effects of family relationships in family firms. Indeed, this variable helps explain the motivation for members to act as stewards of the firm versus their propensity to act destructively Corbetta Salvato, 2004. Researchers believed that family ownership do motivate directors to work in line with firm‘s objectives, thus maximise the shareholder wealth. Family directors are also able to avoid the exploitative behaviour of the agent. Therefore, family ownership may influence firm performance in a positive way. Thus, we hypothesize that: H 1 : Ceteris paribus, family directors that hold higher percentage of share ownership encourage higher firm performance than family directors with lower percentage of share ownership. Owner or Professional Manager Studies have found that family-owned and managed firms reach higher performance than those that are professionally managed Monsen, Chiu, Cooley, 1968; Daily Dollinger, 1992. Previous studies also showed that the agency costs are significantly higher when professionals manage the firms Ang et al., 2000. Nevertheless, professional directors play an important role in the family firms Ibrahim et al., 2001. The professionals may have particular knowledge of the firm that may be proved to be valuable in mentoring of future-generation leaders, or filling in the leadership role Lee et al., 2003. In larger firms, professionals have been found to play a critical role in strategic decision-making in family firms Chua et al., 2003. Studies by Lauterbach and Vaninsky 1999 in Israel and Chittoor and Das 2007 in India found that management succession to a professional manager has a positive impact on the performance. Based on the above literatures, there were mixed results although the majority of studies showed that family managers outperform professional managers. Hence, this study hypothesizes that: H 2 : Ceteris paribus, family firm that is managed by family CEO has higher firm performance than family firm managed by professional manager.