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'HFHPEHU -DQXDU\ Audit Presentation to Council City of San Luis Obispo Technical Proposal 27 ,GHQWLILFDWLRQRI$QWLFLSDWHG3RWHQWLDO$XGLW3UREOHPV :HGRQRWDQWLFLSDWHWKDWWKHUHZLOOEHDQ\DXGLWSUREOHPVDWWKH&LW\+RZHYHUWKHIROORZLQJ DUHVRPHDUHDVWKDWZHZLOOFDUHIXOO\LQYHVWLJDWHDQGPRQLWRUGXULQJRXUDXGLWSURFHGXUHV x )LQDQFLDO5HSRUWLQJ ¾ 5HYLHZDQGHYDOXDWHWKDWWKH&LW\¶V$QQXDO)LQDQFLDO5HSRUWVDUHLQFRPSOLDQFHZLWK FXUUHQWUHSRUWLQJDQGGLVFORVXUHVUHTXLUHPHQWVLVVXHGE\WKH*$6%DQG*)2$ ¾ 5HYLHZ$QQXDO)LQDQFLDO5HSRUWVIRUILQDQFLDOUHSRUWLQJFRQIRUPDQFHDZDUGVLVVXHG E\&60)2DQG*)2$ ¾ 5HYLHZDQGHYDOXDWHGHJUHHRIFRPSOLDQFHZLWKWKHYDULRXV*$6%VLQHIIHFW ¾ 5HYLHZ GHJUHH RI FRPSOLDQFH ZLWK LQIUDVWUXFWXUH REOLJDWLRQV DQG UHJXODWRU\ SURYLVLRQV x ,QWHUQDO&RQWURO6WUXFWXUH ¾ 5HYLHZDQGHYDOXDWHWKH&LW\¶VLQWHUQDOFRQWUROIXQFWLRQVDQGDVFHUWDLQFRPSOLDQFHZLWK SURSHULQWHUQDOFRQWUROSKLORVRSKLHV ¾ 5HYLHZFRPSXWHUV\VWHPSURFHVVHVDQGFRQWUROVDQGHYDOXDWHDGHTXDF\RIWKHFRQWURO HQYLURQPHQW 6HYHUDO QHZ *$6% SURQRXQFHPHQWV ZLOO EHFRPH HIIHFWLYH RYHU WKHWLPH SHULRG 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3KRQH GFRUEHWW#FLW\RIVDQPDWHRRUJ &LW\RI9DFDYLOOH x 6FRSHRI:RUN &RPSUHKHQVLYH$QQXDO)LQDQFLDO5HSRUW6LQJOH$XGLW*DQQ /LPLW6$69DFDYLOOH+RXVLQJ$XWKRULW\ x (QJDJHPHQW3DUWQHU $KPHG%DGDZL x $GGUHVV 0HUFKDQW6WUHHW9DFDYLOOH&$ x 3ULQFLSDO&RQWDFW 0U.HQ0DWVXPL\D $FFRXQWLQJ0DQDJHU 3KRQH NHQPDWVXPL\D#FLW\RIYDFDYLOOHFRP &LW\RI%XHQD3DUN x 6FRSHRI:RUN &RPSUHKHQVLYH$QQXDO)LQDQFLDO5HSRUW6LQJOH$XGLW*DQQ/LPLW6$6 %XHQD3DUN)RXQGDWLRQ x &RQWUDFW$PRXQW x (QJDJHPHQW3DUWQHU $KPHG%DGDZL x $GGUHVV %HDFK%RXOHYDUG VW)ORRU%XHQD3DUN&$ x 3ULQFLSDO&RQWDFW 0U6XQJ+\XQ )LQDQFH'LUHFWRU 3KRQH VK\XQ#EXHQDSDUNFRP &LW\RI(DVW3DOR$OWR x 6FRSH RI :RUN &RPSUHKHQVLYH $QQXDO )LQDQFLDO 5HSRUW 6LQJOH $XGLW *DQQ /LPLW 6$60HDVXUH&0HDVXUH$5HSRUW 6DQ0DWHR&RXQW\ x &RQWUDFW$PRXQW x (QJDJHPHQW3DUWQHU $KPHG%DGDZL x $GGUHVV 8QLYHUVLW\$YHQXH(DVW3DOR$OWR&$ x 3ULQFLSDO&RQWDFW 0UV%UHQGD2OZLQ )LQDQFH'LUHFWRU 3KRQH EROZLQ#FLW\RIHSDRUJ Appendix A City of San Luis Obispo Technical Proposal 31 6XEPLWWDO)RUPV &RVW3URSRVDODQG,QVXUDQFH&HUWLILFDWH 5HIHUHQFHV 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