Match each of the following transactions 1 through 10 with the applicable internal control
principle that is being violated listed in “a” through “g“.
A. Establish responsibility
B. Maintain adequate records
C. Insure assets and bond employees
D. Separate recordkeeping from custody of assets
E. Divide responsibility for related transactions
F. Apply technological controls
G. Perform regular and independent reviews
_____ 1. Cashiers have access to the cash register recorded tape or file.
_____ 2. A company uses a voucher system, but the cash disbursement clerk pays directly
from invoices received.
_____ 3. Only sales clerks use the cash registered, but they all share the same cash
drawer.
_____ 4. The bookkeeper prepares and signs checks and completes the bank
reconciliation.
_____ 5. A restaurant allows servers to keep cash collected in their aprons and ring in all
sales at the end of the night.
_____ 6. A company fails to hire a CPA to perform an annual audit.
_____ 7. A company does not bond its key cash-handling employees.
_____ 8. A company has a single department that handles purchasing, receiving, and
inventory management.
_____ 9. A large company has no internal auditor on staff.
_____ 10. A company manager keeps pre-signed checks in his desk drawer for employees
to hand write when the accountant is out of the office.