Finding 1176185 (2023-001)

Material Weakness Repeat Finding
Requirement
P
Questioned Costs
-
Year
2023
Accepted
2026-03-03
Audit: 389998
Organization: City of Pekin (IL)

AI Summary

  • Issue: The audit revealed a need to restate the fund balance due to new capital asset policies, GASB 87 implementation, and write-offs of Forgivable Loans.
  • Requirements Impacted: Internal controls must ensure accurate recording and reporting of capital assets, GASB 87, and loan balances for reliable financial statements.
  • Follow-Up: The City should enhance internal controls to ensure timely and accurate reporting before the next audit.

Finding Text

Condition: During audit fieldwork, our testing resulted in a restatement of fund balance to implement a new capital asset policy, implement GASB 87, and write-off of Forgivable Loan balances. Criteria: A good system of internal controls would provide accurate recording and reporting of the above listed items on a regular basis to provide for accurate financial reporting. Cause: Year-end entries related to capital asset balances, GASB 87 implementation, and Forgivable Loan balance write-off were required to accurately present the City’s financial statements. Effect: A material adjustment to the City’s beginning fund balance was required to properly state capital assets, GASB 87 balances, and Forgivable Loan balances. Recommendation: We recommend the City implement effective internal controls to provide an accurate assessment of reporting requirements. This implementation of improved controls would result in the appropriate recognition for financial reporting requirements. Corrective Action Plan: The City and finance director will implement internal controls to properly record capital assets, GASB 87 balances, and Forgivable Loan balances in a timely basis prior to audit fieldwork

Corrective Action Plan

Condition: During audit fieldwork, testing resulted in a restatement of fund balance related to the implementation of a new capital asset policy, implementation of GASB Statement No. 87, and the write-off of forgivable loan balances. Plan: The City and its Finance Department will continue implementing revised policies and new accounting standards, some of which may require retroactive restatements. The City will also continue to evaluate the appropriateness of receivable balances, including forgivable loans, prior to audit fieldwork. Anticipated Date of Completion: Fiscal Year 2024 Name of Contact Person: Eric Dubrowski, Finance Director Management Response: As part of its internal review of capital assets, the City implemented a revised capital asset policy. This policy significantly reduced the number of assets required to be tracked while retaining the vast majority of assets on the City’s books, resulting in improved compliance and increased administrative efficiency. The City reviews the implementation of new GASB pronouncements with its auditors in advance of each applicable reporting period. Forgivable loan balances previously corresponded to liens placed on properties and notes issued to borrowers. Upon reevaluation of the criteria required for forgiveness, the City concluded that these loans were highly likely to be forgiven. In the limited circumstance where forgiveness would not occur, such as a borrower ceasing operations, collection of the loan would also be unlikely. As a result, the City determined that these balances should be removed retroactively from the balance sheet, resulting in a restatement of fund balance.

Categories

Cash Management Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1176186 2023-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $1.10M
14.248 COMMUNITY DEVELOPMENT BLOCK GRANTS_SECTION 108 LOAN GUARANTEES $601,650
14.218 COMMUNITY DEVELOPMENT BLOCK GRANTS/ENTITLEMENT GRANTS $123,071
20.106 AIRPORT IMPROVEMENT PROGRAM $105,456
97.044 ASSISTANCE TO FIREFIGHTERS GRANT $81,818
16.738 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT PROGRAM $8,488
16.607 BULLETPROOF VEST PARTNERSHIP PROGRAM $3,289