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HomeMy WebLinkAboutAGENDA REPORT 2016 0601 CC REG ITEM 10F ITEM 10.F. CITYOF MOORPARK,CALIFORNIA City Council Meeting ACTION: 40,0Asited Ate MOORPARK CITY COUNCIL i gees�_ z « AGENDA REPORT By: • ` TO: Honorable City Council FROM: Ron Ahlers, Finance Director DATE: May 25, 2016 (City Council meeting of June 1, 2016) SUBJECT: Consider Engagement Letter from External Auditors for Fiscal Year (FY) 2015/16 Audit BACKGROUND Annually the City of Moorpark engages the services of a CPA firm to perform an audit of the financial statements of the City. The City contracts with the firm of Rogers, Anderson, Malody & Scott, LLP Certified Public Accountants (RAMS) for these services for a five year period. The attached letter specifies the performance of the audit in regards to: Audit Objectives, Management Responsibilities, Auditing Procedures, Internal Controls and Compliance, Fees charged and a peer performance review. DISCUSSION Auditing standards (SAS 114) require that communications from the audit firm be sent to the governing board of the corporation. The attached engagement letter requires the signature of a City official. Staff recommends that the City Council authorize the City Manager to sign the engagement letter. FISCAL IMPACT The FY 2015/16 audit shall cost a maximum of $34,700. This amount is included in the proposed budget for FY 2016/17. STAFF RECOMMENDATION Authorize the City Manager to sign the engagement letter, subject to the final language approval by the City Manager. Attachment: RAMS Engagement Letter regarding the Fiscal Year 2015/16 Audit 87 RA ROGERS. ANDERSON, MALODY& SCOTT, LLP MCERTIFIED PUBLIC ACCOUNTANTS, SINCE 1948 May 25, 2016 735 E.Carnegie Dr. Suite 00 San Bernardino,CA 92408 909 889 0871 T 909 889 5361 F To the Honorable City Council ramscpa.net City of Moorpark 799 Moorpark Avenue Moorpark, California 93021 PARTNERS Brenda L. Odle,CPA.MST Terry P. Shea,CPA Kirk A.Franks,CPA The following represents our understanding of the services we will provide Scott W. Manno,CPA.CGMA the City of Moorpark (the City). You have requested that we audit the Leena Shanbhag,CPA MST.CGMA financial statements of thegovernmental activities, each major fund, and Bradferd A.Welebir,CPA.MBA.CGMA thea reremaining City, Jay H.Zercher,CPA(Partner Emeritus) aggregate fund information of the Ci as of June 30, 2016, Phillip H. Waller,CPA(Partner Emeritus) and for the year then ended and the related notes to the financial statements, which collectively comprise the City's basic financial MANAGERS I STAFF statements. In addition, we will audit the City'scompliance over major Jenny Liu.CPA.MST p Seong-Hyea Lee,CPA MBA federal award programs for the period ended June 30, 2016, if applicable. Charles De Simoni.CPA We are pleased to confirm our acceptance and our understanding of this Nathan Statham,CPA.MBA audit engagement by means of this letter. Our audits will be conducted with Brigitta Bartha,CPA the objective of our expressing opinion on each opinion unit and an Gardenya Duran,CPA p 9 an P p Juan Romero,CPA opinion on compliance regarding the City's major federal award programs, Ivan Gonzales,CPA MSA if applicable. Brianna Pascoe,CPA Daniel Hernandez,CPA.MBA Ryan Smith,CPA Accounting principles generally accepted in the United States of America require that supplementary information, such as management's discussion and analysis (MD&A) and budgetary comparison information be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Adcounting Standards Board, who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. As part of our engagement, we will apply certain limited procedures to the required supplementary information (RSI) in accordance with auditing standards generally accepted in the United States of America. These limited procedures will consist primarily of inquiries of management regarding their methods of measurement and presentation, and comparing the information for consistency with management's responses to our inquiries. We will not express an opinion or provide any form of assurance MEMBERS on the RSI. The followingRSI is required byaccounting Institute of q � principles generally Certified Public Accountants accepted in the United States of America. This RSI will be subjected to • PCPS The AICPA Alliance certain limited procedures but will not be audited: for CPA Firms Governmental Audit 1) Management's Discussion and Analysis Quality Center 2) Budgetary Comparison Schedules-General Fund California Society of 3) Budgetary Comparison Schedules-Major Special Revenue Funds Certified Public Accountants 4) Schedule of Funding Progress-OPEB 5) Schedule of the Proportionate Share of the Plans Net Pension Liability and Related Ratios as of the Measurement Date 6) Schedule of Plan Contributions 88 1 STABILITY. ACCURACY. TRUST. Honorable City Council City of Moorpark Supplementary information other than RSI will accompany the City's basic financial statements. The supplementary information will be presented for purposes of additional analysis and is not a required part of the financial statements. Such information will be subjected to the auditing procedures applied in the audit of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. Our auditor's report will provide an opinion on the supplementary information in relation to the financial statements as a whole: 1) Combining Schedules of Non-Major Funds 2) Budgetary Comparison Schedules of Non-Major Funds 3) Budgetary Comparison Schedules of Major Non-Special Revenue Funds Also, the document we submit to you will include the following other additional information that will not be subjected to the auditing procedures applied in our audit of the financial statements: 1) Transmittal Letter 2) Statistical Section Schedule of Expenditures of Federal Awards, if applicable We will subject the schedule of expenditures of federal awards to the auditing procedures applied in our audit of the basic financial statements and certain additional procedures, including comparing and reconciling the schedule to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and additional procedures in accordance with auditing standards generally accepted in the United States of America. We intend to provide an opinion on whether the schedule of expenditures of federal awards is presented fairly in all material respects in relation to the financial statements as a whole. Data Collection Form, if applicable Prior to the completion of our engagement, we will complete the sections of the Data Collection Form that are our responsibility. The form will summarize our audit findings, amounts and conclusions. It is management's responsibility to submit a reporting package including financial statements, schedule of expenditure of federal awards, summary schedule of prior audit findings and corrective action plan along with the Data Collection Form to the federal audit clearinghouse. The financial reporting package must be text searchable, unencrypted, and unlocked. Otherwise, the reporting package will not be accepted by the federal audit clearinghouse. We will assist you in the electronic submission and certification. You may request from us copies of our report for you to include with the reporting package submitted to pass-through entities. The Data Collection Form is required to be submitted within the earlier of 30 days after receipt of our auditors' reports or nine months after the end of the audit period, unless specifically waived by a federal cognizant or oversight agency for audits. Data Collection Forms submitted untimely are one of the factors in assessing programs at a higher risk. 89 2 Honorable City Council City of Moorpark The Objective of an Audit The objective of our audit is the expression of opinions as to whether your basic financial statements are fairly presented, in all material respects, in accordance with generally accepted accounting principles and to report on the fairness of the supplementary information referred to in the second paragraph when considered in relation to the financial statements as a whole. Our audit will be conducted in accordance with auditing standards generally accepted in the United States of America and will include tests of the accounting records and other procedures we consider necessary to enable us to express such opinions. We cannot provide assurance that unmodified opinions will be expressed. Circumstances may arise in which it is necessary for us to modify our opinions or add emphasis-of-matter or other-matter paragraphs. If our opinions on the financial statements are other than unmodified, we will discuss the reasons with you in advance. If, for any reason, we are unable to complete the audit or are unable to form or have not formed opinions, we may decline to express opinions or to issue a report as a result of this engagement. General Audit Procedures We will conduct our audit in accordance with auditing standards generally accepted in the United States of America (U.S. GMS), the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States of America; the audit requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), and any state or regulatory audit requirements. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the basic financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to error, fraudulent financial reporting, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. Internal Control Audit Procedures Because of the inherent limitations of an audit, together with the inherent limitations of internal control, an unavoidable risk that some material misstatements may not be detected exists, even though the audit is properly planned and performed in accordance with U.S. GAAS and Government Auditing Standards of the Comptroller General of the United States of America, and any state or regulatory audit requirements. In making our risk assessments, we consider internal control relevant to the City's preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances but not for the purpose of expressing an opinion on the effectiveness of the City's internal control. However, we will communicate to you in writing concerning any significant deficiencies or material weaknesses in internal control relevant to the audit of the financial statements that we have identified during the audit. 90 3 Honorable City Council City of Moorpark Audit of Major Program Compliance, if applicable Our audit of the City's major federal award program(s) compliance will be conducted in accordance with the requirements of the Single Audit Act, as amended; and the Uniform Guidance, and will include tests of accounting records, a determination of major programs in accordance with the Uniform Guidance and other procedures we consider necessary to enable us to express such an opinion on major federal award program compliance and to render the required reports. We cannot provide assurance that an unmodified opinion on compliance will be expressed. Circumstances may arise in which it is necessary for us to modify our opinion or withdraw from the engagement. The Uniform Guidance requires that we also plan and perform the audit to obtain reasonable assurance about whether the City has complied with applicable laws and regulations and the provisions of contracts and grant agreements applicable to major federal award programs. Our procedures will consist of determining major federal programs and performing the applicable procedures described in the U.S. Office of Management and Budget OMB Compliance Supplement for the types of compliance requirements that could have a direct and material effect on each of the City's major programs. The purpose of those procedures will be to express an opinion on the City's compliance with requirements applicable to each of its major programs in our report on compliance issued pursuant to the Uniform Guidance. Also, as required by the Uniform Guidance, we will perform tests of controls to evaluate the effectiveness of the design and operation of controls that we consider relevant to preventing or detecting material noncompliance with compliance requirements applicable to each of the City's major federal award programs. However, our tests will be less in scope than would be necessary to render an opinion on these controls and, accordingly, no opinion will be expressed in our report. We will issue a report on compliance that will include an opinion or disclaimer of opinion regarding the City's major federal award programs, and a report on internal controls over compliance that will report any significant deficiencies and material weaknesses identified; however, such report will not express an opinion on internal control. Compliance with Laws and Regulations As part of obtaining reasonable assurance about whether the financial statements are free of material misstatement, we will perform tests of the City's compliance with the provisions of applicable laws, regulations, contracts, and agreements. However, the objective of our audit will not be to provide an opinion on overall compliance and we will not express such an opinion. Management Responsibilities Our audit will be conducted on the basis that management and, when appropriate, those charged with governance acknowledge and understand that they have responsibility: a. For the preparation and fair presentation of the financial statements in accordance with accounting principles generally accepted in the United States of America; 91 4 Honorable City Council City of Moorpark b. For the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to error, fraudulent financial reporting, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements; c. For safeguarding assets; d. For identifying all federal awards expended during the period including federal awards and funding increments received prior to June 30, 2016, and those received in accordance with the Uniform Guidance generally received after June 30, 2016, if required; e. For preparing the schedule of expenses of federal awards (including notes and noncash assistance received) in accordance with the Uniform Guidance requirements, if required; f. For the design, implementation, and maintenance of internal control over compliance; g. For identifying and ensuring that the City complies with laws, regulations, grants, and contracts applicable to its activities and its federal award programs, if applicable; h. For following up and taking corrective action on reported audit findings from prior periods and preparing a summary schedule of prior audit findings, if applicable; i. For following up and taking corrective action on current year audit findings and preparing a corrective action plan for such findings, if applicable; j. For submitting the reporting package and data collection form to the appropriate parties, if required; k. For making the auditor aware of any significant vendor relationships where the vendor is responsible for program compliance, if required; I. To provide us with: i. Access to all information of which management is aware that is relevant to the preparation and fair presentation of the financial statements such as records, documentation, and other matters; ii. Additional information that we may request from management for the purpose of the audit; and iii. Unrestricted access to persons within the City from whom we determine it necessary to obtain audit evidence. m. For including the auditor's report in any document containing financial statements that indicates that such financial statements have been audited by the City's auditor; 92 5 9 E6 .suo!;eo!unwwoo pe;daosa;u!so pa;oaa!psrw �o ){s!s a su!e;uoo swn!paw asoy; u! uo!;eo!unwwoo ;Su; aaeMe aq mous not pue `Hew-a JO xe; eln Iauuosaad molt so not Li;IM a;eo!unwwoo Aew am ';uawa6e6ue ay;Jo asinoo ay; 6uunp sand pus 6u!w!1 'uo!;ea;s!u!wpb;uawa6e6ud 4o suo!s!noad -6u!;sa;soJ;oalas am suor;oesues;say;o Aue so;poddns JO s;uawnoop Aue a;eaol II!M pue ;sanbas am suo!;euss!}uoo Ile asedaad I!!M saai(oldwa Snoic mu; pue;ssapun aM .139;0 ;!pne sno;o uo!;a!dwoo uodn passasdxa aq II!M uo!u!do Lions ou `aso;asaq; `pue ;!pne aq; ;o an!;oafgo ue aq ;ou II!M eoue!!dwoo pue los;uoo Iewa;u! uo uo!u!do us 6u!p!nosd `sanaMoH •6u!;sa;;ey;}o s;!nsas eq; 6u!pn!ou! 's}oea;uoo pue s;ues6 ;o suo!s!nosd pue `suo!;e!n6as 'sMel Li;!M aoue!!dwoo rano pus 6u!podas !e!oueu!J sano Ios;uoo !ewa;u! sano 6u!;sa; sno ;o adoos eq; 6u!quosap podas ua3UM e anss! osle II!M am `spaepueJs 6ul;!pny ;uawwanoo Jo s;uawas!nbas ay; y;!M aoueps000e ul ;uawa6e6ua ay; woa}Meapy;!M JO '(s)ydes6esed sapew-say;o JO sa}}ew-Jo-s!segdwe ue ppe `suo!u!do mo !pow o; sn so; fuessaoaU s! ;! Lio!1M u! asue Aew seoue;swnos!3 •passasdxa eq II!M suo!u!do pay!powun mu; aouesnsse ap!nosd ;ouueo am •49 ay; Jo Apoq 6u!wano6 ay; o; passasppe aq II!M podaa snp •s;uawa;e;s le!oueu!; o!seq s,4O ay; ;o ;!pne sno Jo uogaldwoo uodn }sodas Ua}}UM a anss! II!M am 6ugiodej ;!pne ay; y;!M uo!;aauuoo Li! sn o; apew suo!;e;uesasdaa 6u!usaouoo uo!;ews!;uoo uapUM 'aouewano6 Li;!M pa6seuo asoy; 'a;eudosdde uagM 'pus ;uawa6euew wosj ;senbas II!M am 'sseoosd ;!pne sno ;o ped sy •uoasaq;podas sno pue uo!;ewaoJu! Ase;uawalddns au;;o nog( Aq aouenss!;o a;ep eq; uey;sa;el ou uo!;ewso;u! ke;uawalddns ay;jo ssasn papua;u! ay; o; eigel!ene Appeal s;uawa;e;s le!oueu!4 pa;!pne ay; aNew o; 's;uawa;e;s le!oueul pa;!pne au; y;!M pa;uasasd aq ;ou II!M uo!;ewso;u! Ilse;uawalddns ay; 4! so `s;uawa;e;s le!oueug pa;!pne eq; y;!M uo!;ewso4u! icre;uawalddns ay; ;uasaad o; (p) pue 'uo!;ewso;u! ifue;uawalddns Lions uo papodaa meg am mu; sa;eo!pu! ;eq; pue uogewso;u! /(se;uawalddns eq su!e;uoo ;ey; ;uawnoop Cue u! uoRewso;u! tie;uawa!ddns ay; uo yodel sno apnlou! o; (o) !uo!;ewso;u! Ase;uawalddns 6u!pae6as suo!;e;uasasdaa uap!sM a;eudosdde eq; y;!M sn ap!nosd o; (g) 'e!sa;!so algeo!Idde ay; Li;!M aoueps000e u! uo!;eusso;w ke;uawalddns ay; ;o uo!;esedasd eq; so; (e) _IC;!I!gtsuodsas sno/ pue;ssapun pue ebpaIMou)Ioe noA 'anoge o; poria;as uo!;ewso;u! IGe;uawalddns ay; o; pae6as q;!M 'Jogai uo!;e;uesasdaa ;uawa6euew snob u! sn o;as al s!y; u! pau!}ap se se!;!I!q!suodsaa anoA }o bu!pue;ssapun snob 6u!ws!}uoo sod •o pue 'alogM a se s;uawa;e;s le!oueu!; ay; o; 'a;e6as66e ay; u! pue A!Ienp!n!pu! y;oq '!epa;eww! ase ;!pne sapun poued mead ;uas no ay; o; 6ulu!eped pue ;uewe6e6ua ;uassno ay; 6uunp sn Aq pa;e6aa66e s;uawa;e;ss!w pa;oassooun 1(ue Jo s}Oa;}a ay; ley; sapal uo!;e;uesasdas ;uawa6euew ay; u! sn o; 6u!wsyuoo pue s;uawa;e;sskw le!sa;ew ;0aJaoo o;s;uawa;e;s Ie!oueu!au; 6u!;snlpe sod u >vedsooW Jo Apo I!ounoo algesouoH Honorable City Council City of Moorpark Terry Shea, CPA, is the engagement partner for the audit services specified in this letter. His responsibilities include supervising services performed as part of this engagement and signing or authorizing another qualified firm representative to sign the audit report. Our fees for these services are detailed in Attachment "A" to this agreement. Our standard hourly rates vary according to your audit. Our invoices for these services will be rendered each month and are payable upon presentation. If we elect to terminate our services for nonpayment, our engagement will be deemed to have been completed upon written notification of termination, even if we have not completed our report(s). You will still be obligated to compensate us for all time expended and to reimburse us for all out-of-pocket costs through the date of termination. The above fee is based on anticipated cooperation from your personnel and the assumption that unexpected circumstances will not be encountered during the audit. If significant additional time is necessary, we will discuss it with you and arrive at a new fee estimate before we incur the additional costs. Whenever possible, we will attempt to use the City's personnel to assist in the preparation of schedules and analyses of accounts. This effort could substantially reduce our time requirements and facilitate the timely conclusion of the audit. Further, we will be available during the year to consult with you on financial management and accounting matters of a routine nature. With respect to any non-attest services we perform, City's management is responsible for (a) making all management decisions and performing all management functions; (b) assigning a competent individual to oversee the services; (c) evaluating the adequacy of the services performed; (d) evaluating and accepting responsibility for the results of the services performed; and (e) establishing and maintaining internal controls, including monitoring ongoing activities. Government Auditing Standards require that we document an assessment of the skills, knowledge, and experience of management, should we participate in any form of preparation of the basic financial statements and related schedules or disclosures as these actions are deemed a non-audit service. During the course of the audit we may observe opportunities for economy in, or improved controls over, your operations. We will bring such matters to the attention of the appropriate level of management, either orally or in writing. We agree to retain our audit documentation or work papers for a period of at least seven years from the date of our report. At the conclusion of our audit engagement, we will communicate to those charged with governance the following significant findings from the audit: • Our view about the qualitative aspects of the City's significant accounting practices; • Significant difficulties, if any, encountered during the audit; • Uncorrected misstatements, other than those we believe are trivial, if any; • Disagreements with management, if any; • Other findings or issues, if any, arising from the audit that are, in our professional judgment, significant and relevant to those charged with governance regarding their oversight of the financial reporting process; 94 7 Honorable City Council City of Moorpark • Material, corrected misstatements that were brought to the attention of management as a result of our audit procedures; • Representations we requested from management; • Management's consultations with other accountants, if any; and • Significant issues, if any, arising from the audit that were discussed, or the subject of correspondence, with management. The audit documentation for this engagement is the property of Rogers, Anderson, Melody & Scott, LLP (RAMS) and constitutes confidential information. However, we may be requested to make certain audit documentation available to regulators and federal agencies and the U.S. Government Accountability Office pursuant to authority given to it by law or regulation, or to peer reviewers. If requested, access to such audit documentation will be provided under the supervision of RAMS personnel. Furthermore, upon request, we may provide copies of selected audit documentation to regulators. The regulators may intend, or decide, to distribute the copies of information contained therein to others, including other governmental agencies. In accordance with the requirements of Government Auditing Standards, we have attached a copy of our latest external peer review report of our firm for your consideration and files. Please sign and return the original of this letter to indicate your acknowledgment of, and agreement with, the arrangements for our audit of the financial statements and compliance over major federal award programs including our respective responsibilities. Please keep the copy for your records. We appreciate the opportunity to be your financial statement auditors and look forward to working with you and your staff. Respectfully, Rogers, Anderson, Melody & Scott, LLP Afr _ Terry Shia, CPA Partner RESPONSE: This letter correctly sets forth our understanding of the City of Moorpark. Title: Date: 95 8 Attachment"A" CITY OF MOORPARK SCHEDULE OF PROFESSIONAL FEES AND EXPENSES FOR THE AUDIT OF THE JUNE 30, 2016 FINANCIAL STATEMENTS Base Services: Total City Audit& Related Reports $ 23,000 Successor Agency Audit 5,000 Single Audit& Related Reports(if applicable) 3,500 Sub-total Base Costs 31,500 Optional Services: State Controller's Report-Cities Financial Transactions Report 3,200 Sub-total Optional Costs 3,200 Annual Maximum Fees $ 34,700 96 Grant Bennett Associates A PROFESSIONAL CORPORATION ,•:,:u:::.•;: -ion. :r ads;-:uz;•i; .:r... a t:i,r,1(.:•r.,. Fern. SYSTEM REVIEW REPORT June 30.2015 To the owners of Rogers.Anderson.Malody&Scott,LLP and the Peer Review Committee of the California Society of Certified Public Accountants We have reviewed the system of quality control for the accounting and auditing practice of Rogers,Anderson,Malody&Scott.LLP (the firm)in effect for the year ended November 30,2014. Our peer review was conducted in accordance with the Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants. As part of our peer review, we considered reviews by regulatory entities,if applicable,in determining the nature and extent of our procedures. The firm is responsible for designing a system of quality control and complying with it to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Our responsibility is to express an opinion on the design of the system of quality control and the firm's compliance therewith based on our review. The nature, objectives,scope,limitations of,and the procedures performed in a System Review are described in the standards at www.aicpa.oreiprsummarv. As required by the standards, engagements selected for review included engagements performed under the Government Auditing Standards and audits of employee benefit plans. In our opinion,the system of quality control for the accounting and auditing practice of Rogers,Anderson,Malody&Scott,LLP in effect for the year ended November 30, 2014,has been suitably designed and complied with to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Firms can receive a rating of pass,pass with deficiency(ies)or fail. Rogers,Anderson,Malody&Scott, LLP received a peer review rating of pass. GRANT BENNETT ASSOCIATES A PROFESSIONAL CORPORATION Certified Public Accountants GB A 1375 Exposition Boulevard, Suite 230 P.O. Box 223096 C P A Sacramento, CA 95815 Princeville, HI 96722 awxgtapamm 916/922-5109 FAX 916/641-5200 888/769-7323 97