Finding 554030 (2024-002)

Material Weakness
Requirement
P
Questioned Costs
-
Year
2024
Accepted
2025-04-03

AI Summary

  • Core Issue: The organization lacks a formal process to identify and evaluate loan impairment, leading to a $2 million audit adjustment.
  • Impacted Requirements: This situation violates adequate internal control functions necessary for accurate financial reporting.
  • Recommended Follow-Up: Implement a structured loan review process with regular assessments, documentation, and board oversight.

Finding Text

Lack of a Formal Process to Identify and Evaluate Loan Impairment Material Weakness Condition: The Organization does not have a regular process in place to identify and evaluate loans for impairment. As a result, an audit adjustment of $2 million was required to increase the allowance for uncollectible loans. Criteria: Adequate internal control functions over the financial reporting process. Cause: Oversight by management. Effect: The absence of a regular review process increases the risk of misstated financial statements and inadequate loan loss reserves. Recommendation: Recommendation: We recommend implementing a structured loan review process, including periodic assessments, documentation of impairment evaluations, and board oversight. View of Responsible Official and Planned Corrective Action: Management agrees with the finding. See corrective action plan.

Corrective Action Plan

Finding Number: 2024-002 Lack of a Formal Process to Identify and Evaluate Loan Impairment Planned Corrective Action: To reduce the risk of misstatement and inadequate loan loss reserves, NWSOCO has worked with the lending board to develop a tool for evaluating loan impairment that considers the delinquency of the loan, the value of collateral, and the cost of sale of secured collateral. This document will be used going forward when considering action to be taken on delinquent loans. NWSOCO`s lending guidelines and policies state that the Southern Colorado Community Lending (SCCL) Board of Directors will review all delinquent loans monthly and will make the recommendation on the action that NWSoCo will take to rectify delinquent loans. Furthermore, the SCCL Board will review and create new loss projections based on the current expected credit loss (CECL) model as required under ASU 2016-13. Person Responsible for Corrective Action: Emily Garbiso, Chief Finance Officer Anticipated Date of Completion: 05/01/2025

Categories

Internal Control / Segregation of Duties Material Weakness Reporting Matching / Level of Effort / Earmarking

Other Findings in this Audit

  • 554029 2024-001
    Material Weakness
  • 554031 2024-003
    Material Weakness
  • 554032 2024-004
    Material Weakness
  • 554033 2024-005
    Material Weakness
  • 554034 2024-006
    Material Weakness
  • 554035 2024-007
    Material Weakness
  • 554036 2024-008
    Material Weakness
  • 1130471 2024-001
    Material Weakness
  • 1130472 2024-002
    Material Weakness
  • 1130473 2024-003
    Material Weakness
  • 1130474 2024-004
    Material Weakness
  • 1130475 2024-005
    Material Weakness
  • 1130476 2024-006
    Material Weakness
  • 1130477 2024-007
    Material Weakness
  • 1130478 2024-008
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
21.027 Coronavirus State and Local Fiscal Recovery Funds $666,624
14.247 Self-Help Homeownership Opportunity Program $403,800
93.093 Health Profession Opportunity Grants $382,000
21.025 Small Dollar Loan Program $37,738
14.169 Housing Counseling Assistance Program $31,944