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Microlesson · 5-min read

Internal Controls over Trade Receivables (Debtors)

## Internal Controls over Trade Receivables

Strong internal controls over debtors ensure completeness, accuracy, and timely collection. An auditor evaluates whether the following controls exist:

### Key Control Points

Control AreaWhat to Check
RecordingAll sales properly recorded in books
SettlementDebtors settled only by cash receipt or authorised write-off
Segregation of DutiesAccounting, collection, and reminders handled by different staff
CollectionDebtors collected on time
Follow-upReminders sent; legal action taken when needed
ReviewBalances regularly reviewed
ProvisioningAdequate provision made via ageing schedule of debtors

### Why Segregation of Duties Matters

If one person handles accounting and collections, fraud is easy to conceal (e.g., teeming and lading). Splitting these roles is a fundamental preventive control.

### Ageing Schedule

An ageing schedule classifies debtors by how long they have been outstanding (e.g., 0–30 days, 31–60 days, >90 days). It helps identify doubtful debts and ensure adequate provisioning.

Worked example

### Example 1

Scenario: A company has 500 debtors totalling ₹2 crore. The finance manager both raises invoices and collects cheques. Identify the control weakness.

Answer: There is no segregation of duties. The finance manager can suppress a receipt and pocket the cash without detection. The control should be split: invoicing by accounts staff, collection by a separate cashier.

### Example 2

Scenario: During audit, you find the ageing schedule shows ₹15 lakh outstanding for more than 180 days. No provision has been made. What should the auditor do?

Answer: Discuss with management why no provision exists. Request documentation on recoverability. If explanations are unsatisfactory, qualify the report or insist on a provision for doubtful debts.

⚠️ Common exam mistakes

  • Confusing 'segregation of duties' with having multiple approvals — segregation means different persons perform different functions, not just multiple sign-offs.
  • Forgetting that balances must be reviewed regularly, not just at year-end.
  • Treating the ageing schedule as optional — it is the primary tool for provisioning decisions.
Reference:
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