Dental Assist, Inc. Case – Internal Investigation Memos

Dental Assist, Inc. Case – Internal Investigation Memos (30 points)

At the conclusion of the Dental Assist, Inc. case, Sylvia Thornock – the company’s internal audit manager – begins an internal investigation of the West Region at Dental Assist.  As mentioned in the case, the purpose of her investigation is to determine the nature and source of the overdrafts in the operating bank account of the West Region.

In completing your class assignment, please assume the role of an internal auditor working under the direction of Sylvia Thornock.  Your work on this assignment will be evaluated both in terms of your ability to effectively analyze the information presented in the case and to communicate your findings in a concise and professional manner.

To document your analysis and findings, you will create two memos to an internal file (select your own file number).  Your memos should generally follow the format of those included in the Sample Fraud Examination Report (a PDF file), which is included on WebCampus.  (Use a smaller heading to allow more space for conveying useful information.  For example, the heading on page 3.1111 of the report allows for more space than the heading on page 3.1105.)

Your written assignment will be due by the beginning of class on the due date; you will submit it electronically using a Turn-it-In activity in WebCampus.  We will review the case thoroughly in class, so please come prepared to discuss the case in detail.  Late assignments will not be accepted.

This is an individual assignment.  You should not discuss the case with other class members and/or share insights or information about the case.  Your work must be original, and it must be your own.

Memo 1 – Identification of Internal Control Weaknesses

Sylvia Thornock has asked you to write a memo to the file identifying any internal control weaknesses observed in the expenditure cycle at the West Region offices. Identify the nature of the control weaknesses and the potential threats posed to the organization.  (For purposes of the assignment, you should identify at least three internal control weaknesses.)

This memo should take no more than two single-spaced pages.  When a memo spans multiple pages, you do not repeat the heading on the subsequent pages.  (See pages 3.1112 – 3.1113 of the Sample Fraud Examination Report as an example of a multi-page memo.)


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