R-87-1017 - 7/9/1987WHEREAS, the City of Round Rock is required to have an
annual audit of all City funds; and
WHEREAS, Pena Swayze and Company submitted an audit
letter agreement to provide such services; and
WHEREAS, the Council of the City of Round Rock is desirous
of entering into an agreement with Pena Swayze and Company;
Now Therefore
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK,
TEXAS
That the Mayor is hereby authorized to execute said audit
letter agreement with Pena Swayze and Company, a copy is
attached hereto for all intents and purposes.
RESOLVED this 9th day of July, 1987.
ATTEST:
NE LAND, City Secretary
RESOLUTION NO. /y 7,#
MIKE ROBINSON, Mayor
City of Round Rock, Texas
DATE: July 7, 1987
SUBJECT: Council Agenda, July 9, 1987
ITEM: 12C - Consider a resolution authorizing the Mayor to
enter into an agreement for an audit firm.
The attached Agreement is to retain Pena Swayze and Company to perform the
annual audit for the City of Round Rock. A rate of $35.00 per hour with a
cap of $30,000.00 is proposed which is the same as last fiscal year. This
will be the third year this firm has performed the audit.
Gentlemen:
PENA SWAYZE & CO.
CERTJFJED PUBLIC ACCOUNTANTS
June 22, 1987
Hon. Mike Robinson, Mayor
Mr. Robert L. Bennett, City Manager
Mr. Sam Huey, Assistant City Manager /Finance Director
City of Round Rock
Round Rock, Texas
101
We are pleased to have the opportunity to serve the City of Round Rock
as independent auditors for the year ending September 30, 1987. The
purpose of this letter is to confirm our understanding of the scope of our
examination.
We will perform an examination for the purpose of expressing an
opinion on the fairness of the presentation of the City's general purpose
financial statements for the year ending September 30, 1987. If our
opinion is other than unqualified, we will fully discuss the reasons with
you in advance. In addition to the general purpose financial statements,
we will:
Assist in the preparation of the City's Comprehensive Annual
Financial Report for submission to the Government Finance
Officers Association under its voluntary program for a
Certificate of Achievement for Excellence in Financial
Reporting.
Report on compliance with laws and regulations.
Report on internal control.
Our audit will be a Single Audit made in accordance with generally
accepted auditing standards; the standards for financial and compliance
audits contained in Standards for Audit of Governmental Organizations,
Programs, Activities, and Functions, issued by the U.S. General Accounting
Office; the Single Audit Act of 1984; and the provisions of OMB Circular
A -128, Audits of State and local Governments, and will include tests of the
accounting records of the City and other procedures we consider necessary
to enable us to express an unqualified opinion that the financial state-
ments are fairly presented in conformity with generally accepted accounting
principles consistently applied and to report on the City's compliance with
laws and regulations and its internal accounting controls as required for a
Single Audit.
MEMBER AMERICAN INSTITUTE AND TEXAS SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS
P.O. BOX 250 ROUND ROCK, TEXAS 78680 5121255 -2165
City of Round Rock
Page 2
June 22, 1987
Although defalcations and similar irregularities may occasionally be
disclosed by this type of examination, it is not designed for this purpose
and should not be relied on to disclose fraud, should any exist. We will,
of course, report to you anything that appears to us during our examination
to be unusual or abnormal.
As you know, City administrators have primary responsibility for
properly recording transactions in the records, for safeguarding assets and
for preparing accurate financial statements. Our basic audit function is
to add reliability to those financial statements.
Additionally, we will study the City's operations in order to make
recommendations regarding the economy and efficiency with which you conduct
your affairs.
In order for our firm to complete our work in a timely manner and to
maintain the level of fees we propose, our firm and the City must closely
coordinate the audit work so that City staff disruption is minimized, and
we receive timely City prepared reports, information and support.
We feel that an efficient audit and timely report can be accomplished
with the following schedule.
PHASE OF WORK TIMING
I. Interim field work Mid July/Mid August
II. Confirmations End of September
III. Year -end field work Late October
IV. Review of report draft Early December
V. Printing of report Mid December
VI. Report delivery Mid January
The City is to furnish the necessary and customary clerical staff to
assist us in preparing detail trial balances and supporting schedules. We
also understand that City staff will assist us by locating and submitting
to us invoices, cancelled checks and other documents and records which we
request. Prior to beginning each phase of the audit process, we would
utilize City staff in the preparation of certain detailed audit schedules
which we would format. In order for us to complete our work efficiently
and to stay within the proposed range of audit fees, all City prepared
schedules must be completed at the start of each phase.
In conjunction with all phases of our examination, we will review the
City's system of internal accounting controls. If we observe any material
PEIVA SWAYZE & CO.
CERTIFIED PUBLIC ACCOUNTANTS
PROPOSED AUDIT SCHEDULE
City of Round Rock
Page 3
June 22, 1987
weaknesses, we will report them to you with recommendations for correcting
those weaknesses.
We will try to initiate ideas or observations that we believe will
help achieve the objectives of the City. We will also be pleased to
respond to inquiries you might have about financial or other business
matters.
Our fees are based on the time our personnel require to complete the
engagement plus direct expenses. Individual hourly rates vary in accord-
ance with the degree of responsibility and skill of those assigned to the
audit. Our estimated fee for this examination is $24,000 for the general
purpose financial statements. We anticipate that preparation of the
comprehensive annual financial report would cost $4,000 - $6,000, inclusive
of typing. Our fees are based on an effective hourly rate of $35. We
estimate our examination will take approximately 900 manhours to complete.
If unforeseen complications arise during the audit making it likely that
the fee will exceed this amount, we will discuss the increase before
proceeding.
If you intend to publish or otherwise reproduce the financial state-
ments and make reference to our firm name, you agree to provide us with
printers' proofs or masters for our review and approval before printing.
You also agree to provide us with a copy of the final reproduced material
for our approval before it is distributed.
If this letter defines the arrangements as you understand them, please
sign and date the enclosed copy and return it to us. If not, please let us
know what changes are needed.
CONFIRMED
Mike
sistant City
Date
r ,PEISIASWAYZE&CO.
CERTIFIED PUBLIC ACCOUNTANTS
Sincerely,
PENA SWAYZE &
Finance Director
Hon. Mike Robinson, Mayor
Mr. Robert L. Bennett, City Manager
Mr. Sam Huey, Assistant City Manager /Finance Director
City of Round Rock
Round Rock, Texas
Gentlemen:
PENA SWAYZE & CO.
CERTIFIED PUBLIC ACCOUNTANTS
June 22, 1987
We are pleased to have the opportunity to serve the City of Round Rock
as independent auditors for the year ending September 30, 1987. The
purpose of this letter is to confirm our understanding of the scope of our
examination.
We will perform an examination for the purpose of expressing an
opinion on the fairness of the presentation of the City's general purpose
financial statements for the year ending September 30, 1987. If our
opinion is other than unqualified, we will fully discuss the reasons with
you in advance. In addition to the general purpose financial statements,
we will:
Assist in the preparation of the City's Comprehensive Annual
Financial Report for submission to the Government Finance
Officers Association under its voluntary program for a
Certificate of Achievement for Excellence in Financial
Reporting.
- Report on compliance with laws and regulations.
- Report on internal control.
Our audit will be a Single Audit made in accordance with generally
accepted auditing standards; the standards for financial and compliance
audits contained in Standards for Audit of Governmental Organizations,
Programs, Activities, and FU actions, issued by the U.S. General Accounting
Office; the Single Audit Act of 1984; and the provisions of OMB Circular
A -128, Audits of State and Local Governments, and will include tests of the
accounting records of the City and other procedures we consider necessary
to enable us to express an unqualified opinion that the financial state-
ments are fairly presented in conformity with generally accepted accounting
principles consistently applied and to report on the City's compliance with
laws and regulations and its internal accounting controls as required for a
Single Audit.
MEMBER AMERICAN INSTITUTE AND TEXAS SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS
P.O. BOX 250 ROUND ROCK, TEXAS 78680 512/255-2165
City of Round Rock
Page 2
June 22, 1987
Although defalcations and similar irregularities may occasionally be
disclosed by this type of examination, it is not designed for this purpose
and should not be relied on to disclose fraud, should any exist. We will,
of course, report to you anything that appears to us during our examination
to be unusual or abnormal.
As you know, City administrators have primary responsibility for
properly recording transactions in the records, for safeguarding assets and
for preparing accurate financial statements. Our basic audit function is
to add reliability to those financial statements.
Additionally, we will study the City's operations in order to make
recommendations regarding the econany and efficiency with which you conduct
your affairs.
In order for our firm to complete our work in a timely manner and to
maintain the level of fees we propose, our firm and the City must closely
coordinate the audit work so that City staff disruption is minimized, and
we receive timely City prepared reports, information and support.
We feel that an efficient audit and timely report can be accomplished
with the following schedule.
I. Interim field work Mid July /Mid August
II. Confirmations End of September
III. Year -end field work Late October
IV. Review of report draft Early December
V. Printing of report Mid December
VI. Report delivery Mid January
The City is to furnish the necessary and customary clerical staff to
assist us in preparing detail trial balances and supporting schedules. We
also understand that City staff will assist us by locating and submitting
to us invoices, cancelled checks and other documents and records which we
request. Prior to beginning each phase of the audit process, we would
utilize City staff in the preparation of certain detailed audit schedules
which we would format. In order for us to complete our work efficiently
and to stay within the proposed range of audit fees, all City prepared
schedules must be completed at the start of each phase.
In conjunction with all phases of our examination, we will review the
City's system of internal accounting controls. If we observe any material
PROPOSED AUDIT SCHEDULE
PENA SWAYZE & CO.
CERTIFIED PUBLIC ACCOUNTANTS
PHASE OF WORK TIMING
City of Round Rock
Page 3
June 22, 1987
weaknesses, we will report them to you with recommendations for correcting
those weaknesses.
We will try to initiate ideas or observations that we believe will
help achieve the objectives of the City. We will also be pleased to
respond to inquiries you might have about financial or other business
matters.
Our fees are based on the time our personnel require to complete the
engagement plus direct expenses. Individual hourly rates vary in accord-
ance with the degree of responsibility and skill of those assigned to the
audit. Our estimated fee for this examination is $24,000 for the general
purpose financial statements. We anticipate that preparation of the
comprehensive annual financial report would cost $4,000 - $6,000, inclusive
of typing. Our fees are based on an effective hourly rate of $35. We
estimate our examination will take approximately 900 manhours to complete.
If unforeseen complications arise during the audit making it likely that
the fee will exceed this amount, we will discuss the increase before
proceeding.
If you intend to publish or otherwise reproduce the financial state-
ments and make reference to our firm name, you agree to provide us with
printers' proofs or masters for our review and approval before printing.
You also agree to provide us with a copy of the final reproduced material
for our approval before it is distributed.
If this letter defines the arrangements as you understand them, please
sign and date the enclosed copy and return it to us. If not, please let us
know what changes are needed.
CONFIRMED
Mike
Sam Huey, Assistant City Imager /Finance Director
Dat
PEIVA SWAYZE & CO.
URSINE° PUBLIC ACCOUNTANTS
Sincerely,
PENA SWAYZE .
Travla County Office:
301 Congress
Suite 2100
Austin Texas 78701
512/477 -6774
Garry Mauro
Ed Wendler, Sr.
Ken Manning
Sam Kelley
Rafael Quintanills, Jr.
Pena Swayze & Co.
P.O. Box 250
Round Rock, Texas 78680
Gentlemen:
Mauro, Wendler, Sheets, Blume & Gutow
Attorneys at Law
November 12, 1987
Re: City of Round Rock Audit for
Year Ending September 30, 1987
PENDING OR THREATENED LITIGATION
Williamson County Office:
309 East Main
Round Rock, Texas 78664
512/255-8877
Stephan L. Sheets
Charles D. Crossteld
Kevin Henderson
Dallas County Office:
4144 N. Central Expressway
Suite 580
Dallas, Texas 75204
214/824 -6922
James D. Blume
Steve Gutow
By letter dated October 1, 1987, Sam Huey, Assistant City
Manager, has requested that I furnish you certain information in
connection with your examination of the accounts of the City as of
September 30, 1987, and for the period from that date to the date of
my response.
In addition to my being engaged to represent the City in specific
litigation matters, I have now been retained as the Acting City
Attorney. In such capacity I have reviewed the litigation and claims
threatened or asserted against the City for which I have been
retained.
Subject to the foregoing and to the last paragraph of this
letter, I have not been engaged to give substantial attention to, or
represent the City of Round Rock in connection with, material loss
contingencies coming within the scope of clause (a) of paragraph 5 of
the Statement of Policy referred to in the last paragraph of this
letter, except as follows:
1. In Re: Wallace Luersen: United States Bankruptcy Court for the
Western District of Texas, Midland Division, Cause No.
87- 70333.
a. Nature of Litigation: Debtor had filed a Motion to
Terminate Lease between the Debtor as lessor and the City
as lessee, on property on which the City had constructed
substantial improvements consisting of a three story
parking garage. In response to the City's motion vigorously
protesting the Motion to Terminate, said Motion to
Terminate was withdrawn.
Pena Swayze & Co.
November 11, 1987
Page 2
However, Debtor has now filed Adversary Proceeding No.
87 -7100 in the above - described Bankruptcy proceeding. The
Debtor has named MBank Round Rock as a co- defendant.
The complaint filed by the Debtor alleges that the City has
committed trespass, fraud, and breach of contract and that
the actions were motivated by bad faith and were malicious
in nature and is therefore seeking punitive as well as
actual damages.
b. Progress of case to date: The summons and complaint were
served on the City on October 28, 1987 . and a response to
the complaint will be prepared by the law firm of Alvis,
Carssow & von Kreisler. The response is due on or before
November 26, 1987.
c. Management's Response to Litigation: The City Council has
authorized and directed me to vigorously defend the City
against these allegations. However, the City acknowledges
that Luerson is owed certain sums pursuant to the terms of
the lease agreement and has made a settlement offer of
approximately $95,000.00. From conversations with Debtor's
attorney, it is believed that he would settle for
approximately $155,000.00.
d. Evaluation of Likelihood of Outcome: I can make no opinion
based upon an independent review as to the merits of such
claim.
2. Bill Albee Builders. Inc. vs. Louis Henna, Sr., Steger &
Bizzell, Inc. and the City of Round Rock, Cause No. 86- 139 -C,
in the 277th District Court of Williamson County, Texas.
a. Nature of Litigation: Plaintiff purchased a tract of land
located in the city of Round Rock from defendant Louis
Henna. The tract is located along Onion Creek. Plaintiff
hired defendant Steger & Bizzell to perform certain
surveying and engineering work on the tract. Contrary to
the alleged representations of Henna and the work performed
by Steger & Bizzell, the City determined that virtually all
of the tract is located within the 100 year flood plain.
Plaintiff's claim against the City is based upon alleged
delay and eventual denial of development and building
permits.
b. Progress of case to date: The lawsuit was originally filed
in 1986 against Henna and Steger & Bizzell. The City was
sued on September 21, 1987. An answer has been filed and
the discovery process has begun. The case is set for a
trial before a jury on August 1, 1988.
Pena Swayze & Co.
November 11, 1987
Page 3
c. Management's Response to Litigation: The City Council has
authorized and directed me to vigorously defend the City
against the allegations.
d. Evaluation of Likelihood of Outcome: In my opinion based
upon my conversations with various City employees involved
in the matter, the material allegations contained in
Plaintiff's petition are not true and it is unlikely that
the City would suffer an adverse judgment for a significant
amount of money.
3. Sabine Consolidated, Inc. vs The City of Round Rock, Cause No.
87- 256 -C, in the 26th District Court of Williamson County,
Texas.
a. Nature of Litigation: Sabine and the City entered into a
written contractual agreement whereby Sabine agreed to
provide labor and materials for the construction of a
wastewater interceptor project. There was a disagreement
regarding a $49,300.00 change order submitted by Sabine and
the City declined to approve the change order or pay the
amount requested. Sabine also seeks damages for alleged
harm to its good name, reputation, and business relations,
as well as damages due to reduced bonding capacity and the
unwillingness of certain suppliers to extend credit.
b. Progress of Case: The suit was served on the City on May
15, 1987 and an answer was filed on June 8, 1987.
Depositions have been taken of Sabine's president and the
City's engineer. The trial date has not yet been set.
c. Management's Response to Litigation: The City Council has
authorized and directed me to vigorously defend the City
against the allegations. However, Sabine is owed at least a
portion of its retainage, which totals approximately
$30,000.00. The City has a claim against Sabine for
liquidated damages for Sabine's failure to complete the job
on time, which damages total some $12,500.00.
d. Evaluation of Likelihood of Outcome: After taking the
deposition of Sabine's president, it appears likely that
Sabine's claim for damages for harm to its good name,
reputation etc. are without merit. The claim for the change
order is probably without merit, but it could possibly go
against the City. The City undoubtedly owes at least a
portion of the retainage but it has a good chance of
prevailing on the liquidated damages claim. The City has
project funds sufficient to cover the outstanding retainage
amount.
Pena Swayze & Co.
November 11, 1987
Page 4
4 David L. Dorsett and Bill Nations vs. City of Round Rock
Texas, Cause No. 86- 539 -C, 277th District Court of Williamson
County, Texas.
a. Nature of Litigation: This is a suit for declaratory
judgment and for damages from an alleged breach of contract
and an inverse condemnation. Plaintiffs purchased a tract
of land from Wallace Luersen in 1983. Plaintiffs allege
that in March of 1974 Mr. Luersen and the City entered into
an agreement whereby Luerson conveyed certain property for
a city park in exchange for water, wastewater and a public
street being provided to the tract in question. Luersen
transferred his rights in the alleged contract with the
City to Plaintiffs. The Plaintiffs allege that the City
breached the agreement.
In addition Plaintiffs allege that the City entered onto
their property and constructed a sewer line without benefit
of an easement.
Plaintiffs are asking for a declaratory judgment ordering
the City to provide public water, wastewater and streets or
for unspecified money damages; and to either order the City
to remove the sewer line or for unspecified money damages.
b. Progress of Case: This suit was served on the City on
November 5, 1986. The City filed an answer on November 26,
1986. Several depositions have been taken. The trial date
has not yet been set.
c. Management's Response to Litigation: The City Council has
authorized and directed me to vigorously defend the City
against the allegations.
d. Evaluation of Likelihood of Outcome: From my investigation
of the facts it appears unlikely that a contract exists
that requires the City to provide the amount of utility
services claimed by Plaintiffs. Services are available to
the tract now, just not in the capacities wanted by
Plaintiffs. Even if a contract does in fact exist it is my
opinion that a suit thereon is now barred by the statute of
limitations. The City may be liable for damages for the
sewer easement but the amount thereof should be minimal.
5. Round Rock County Road 170. LTD. vs. City of Round Rock
Texas, Cause No. 86- 382 -C, 26th District Court of Williamson
County, Texas.
Pena Swayze & Co.
November 11, 1987
Page 5
a. Nature of Litigation: Plaintiff and other nearby property
owners and the City entered into a contract whereby the
landowners would contribute funds on a pro -rata basis for
the construction of water and wastewater system
improvements and the City would administer the project.
Pursuant to the terms of the contract, Plaintiff deposited
ten percent (10 %) of its pro -rata cost. Plaintiff
subsequently decided to withdraw from the project and
demanded a refund of its deposit. The City refused and
Plaintiff brought this suit to force the refund.
b. Progress of Litigation: Plaintiff made a motion for summary
judgment which was vigorously opposed by the City. The
Judge denied the motion for summary judgment. The case has
not yet been set for trial.
c. Management's Response to Litigation: The City Council has
authorized and directed me to vigorously defend the City
against the allegation.
d. Evaluation of Likelihood of Litigation: I am unable to give
an opinion as to the likely outcome, but even if Plaintiff
were to prevail, the amount of potential liability is
fairly insignificant.
I emphasize that any evaluation given as to the merit of a claim
or defense or the likelihood of litigation is based on my present
understanding of the facts of a particular case, which is subject to
change virtually on a day -to -day basis. My present opinion should
therefore not be taken in any way as a warranty of the actual outcome
of litigation.
The information set forth herein is as of the date of this letter
and I disclaim any undertaking to advise you of changes which
hereafter may be brought to my attention.
As of September 30, 1987, the City was indebted to me for
services and expenses in the amount of $6,035.29. This amount has
since been paid in full.
This response is limited by, and in accordance with, the ABA
Statement of Policy Regarding Lawyers' Responses to Auditors'
Requests for Information (December 1975); without limiting the
generality of the foregoing, the limitations set forth in such
Statement on the scope and use of this response (Paragraphs 2 and 7)
are specifically incorporated herein by reference, and any
description herein of any "loss contingencies" is qualified in its
entirety by Paragraph 5 of the Statement and the accompanying
Pena Swayze & Co.
November 11, 1987
Page 6
Commentary (which is an integral part of the Statement). Consistent
with the last sentence of Paragraph 6 of the ABA Statement of Policy
and pursuant to the City's request, this will confirm as correct the
City's understanding as set forth in its audit inquiry letter to us
that whenever, in the course of performing legal services for the
City with respect to a matter recognized to involve an unasserted
possible claim or assessment that may call for financial statement
disclosure, I have formed a professional conclusion that the City
must disclose or consider disclosure concerning such possible claim
or assessment, I, as a matter of professional responsibility to the
City, will so advise the City and will consult with the City
concerning the question of such disclosure and the applicable
requirements of Statement of Financial Accounting Standards No. 5.
SLS /gj
cc: Sam Huey
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
Robert L. Bennett
221 East Main Street
Round Rock, Texas 78664
Mr. Robert Bennett
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Bob:
RECEIVED SE? 1 b 1387
PEIiTA SWAYZE & CO.
00 CERTIFIED PUBLIC ACCOUNTANTS
September 15, 1987
This continues our series of monthly letters on a variety of topics
centered around personal and business finances. With our letter, we want
to provide general information that is useful to you, your business
associates or friends. While the subject matter addressed here may not be
a current concern of yours, it may be a valuable future reference. Upon
request we can provide you with a wide range of related subject material.
Managing A Small Business - A Continuing Series
The fact that 80% of all small businesses fail within four years of
start up is alarming. Certainly, no entrepreneur enters the business arena
with the intention of failing in four years or failing at all. Small
business owners not only expect to survive but also to realize success.
Becoming a successful small business is the result of many factors.
One of the more important factors is planning. Planning for success
involves clearly defining what type of small business you are and what kind
of business you expect to be. To promote thinking of your company's
future, we focus this month on the development and use of a business plan.
Business Plan - Benefits
A business plan benefits all companies regardless of size. For more
established companies, the business plan defines where the company is in
the business cycle. Knowing the state of your business is very important
in helping to determine the future direction of your company. An analysis
of past successes or even past mistakes will help in planning for the
future.
MEMBER AMERICAN INSTITUTE AND TEXAS SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS
P.O. BOX 250 ROUND ROCK, TEXAS 78680 5121255 -2165
Page 2
September 15, 1987
While nobody can predict the future, we all have to plan for it. Sane
entrepreneurs will build their businesses to a certain size and then sell
out. Still others build a company to achieve financial independence and
someday pass the company to their children. By developing a business plan,
you can clearly focus on the future of your business.
Few businesses are exempt from the need for outside funds. Whether it
be for working capital or funds to expand operations, most businesses will
need some financing assistance. Todays lenders are asking, and sometimes
demanding, that companies develop a business plan as a condition for
obtaining significant loans. Having a business plan in place will
demonstrate to lenders your sophistication as a business owner.
Business Plan - The Elements
Every business plan should include an executive summary, a business
description, a marketing strategy and financial data. The executive
summary begins the business plan by giving the reader a brief overview of
the highlights of your plan.
Following the executive summary is a description of your company. In
this section, a history of the business is presented. It includes what
business you are in, key company personnel, a description of operating
facilities, main products or services offered and any other items that
distinguish your company from competitors.
Next, the plan focuses on marketing strategy. Begin this section by
describing the company's place in its particular industry and a realistic
estimate of growth potential for the near future. Describe your company's
principal characteristics and list major customers and potential customers.
Present your strategy for dealing with the competition, pricing and major
trends within your industry. This should be the longest portion of the
plan.
Finally, your business plan should include relevant financial data.
Present a condensed version of the the company's financial statements for
the past five years and projections for several years into the future.
Include in your projections, funds the company may require, how you will
use any borrowed monies and how they will be repaid.
Business Plan - Getting Started
Knowing the benefits and elements of a business plan, you are now
ready to get started. Begin by diagnosing the internal capabilities of
your company. Evaluate your existing market strategy, pricing strategy,
production strategy, organization and management and financial strategy.
Following your internal diagnosis, evaluate external factors such as market
developments, technological changes and economic developments.
r
PEA SWAYZE & CO.
CERTIFIED PUBLIC ACCOUNTAMS
Page 3
September 15, 1987
With the internal and external diagnosis complete, you can
realistically set goals for the company. You will want to define market
share goals, production goals, future research and development goals,
organizational and management goals and financial goals. Goals provide
benchmarks for the company to achieve and therefore should be made for one,
three, five, ten and twenty year intervals, for example.
In order to achieve the goals set for the company, a set of
interacting sub -plans should be developed. For example, you need a sales
sub -plan which allows the company to gain a market share necessary to meet
market share goals. Establishing the necessary sub -plans should be viewed
as defining the steps required to reach your desired level of success.
A realistic business plan is one that allows for change. Business
plans should be periodically reviewed and revised for new events. With a
realistic business plan in place, you can avoid some of the pitfalls which
cause small businesses to fail.
In October, we will discuss the need for strict tracing of all loan
proceeds. The Tax Reform Act of 1986 requires taxpayers to keep adequate
records on the use of borrowed funds or be subject to loss of interest
deductions. Our letter will illustrate ways to avoid losing interest
deductions on borrowed funds.
We hope this letter has been informative. If you have questions on
your business plan, please contact any member of our firm and we will
gladly assist you.
PEVA SWAYZE & CO.
CERTIFIED PUBLIC ACCOUNTANTS
*
Sincerely,
PENA SWAYZE &