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GROUP - I PAPER - 1 ACCOUNTING V1 CHAPTER 1

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Accounting Standards principal rates specified in the statute governing the enterprise. (c) If any depreciable asset is disposed of, discarded, demolished or destroyed, the net surplus or deficiency, if material, should be disclosed separately. 2.4.5 Construction Contracts (AS 7) Accounting Standard 7 prescribes the principles of accounting for construction contracts in the financial statements of contractors. The focus of the standard is on principles of revenue recognition by the contractors. The standard was initially issued in December 1983 and had the title “Accounting for Construction Contracts”. The standard was revised later and the revised standard applies to all enterprises in respect of construction contracts entered into during accounting periods commencing on or after April 1, 2003. The earlier standard applies to construction contracts entered into during accounting periods commencing on or before 31/03/03. A construction contract is one, by which a contractor agrees to build some asset for his customer. The contractor's profit is the excess of contract price over construction costs. The contract price may or may not be fixed. In a fixed price contract, the price is agreed as fixed sum. In some cases, the contract may require the customer to pay additional sums to compensate the contractor against cost escalations. In a cost plus contract, the customer undertakes to reimburse specified costs together with a fee calculated as percentage on reimbursable costs. The fee is the contractor's margin of profit. Percentage completion method Construction contracts are mostly long term, i.e. they take more than one accounting year to complete. This means, the final outcome (profit/ loss) of a construction contract can be determined only after a number of years from the year of commencement of construction are over. It is nevertheless possible to recognise revenue annually in proportion of progress of work to be matched with corresponding construction costs incurred in that year. This method of accounting, called the percentage completion method, provides useful information on the extent of contract activity and performance during an accounting period. The percentage completion method suffers from a serious drawback viz. anticipation of profit. Since the method recognises revenue pending final outcome of a contract is known, it is possible that an enterprise may distribute dividend based on reported profit of a year, while final result is loss. To avoid such possibilities, percentage completion method should be used with caution. The AS 7 prescribes that the percentage completion method should not be used unless it is possible to make a reasonable estimate of the final outcome of the contract. Also, paragraph 35 of the standard provides that whenever total contract cost is expected to exceed the total contract revenue, the loss should be recognised as an expense immediately. As per paragraph 22, the outcome of fixed price contracts can be estimated reliably when all the following conditions are satisfied: (i) total contract revenue can be measured reliably; 1.51 © The Institute of Chartered Accountants of India Accounting (ii) it is probable that the economic benefits associated with the contract will flow to the enterprise; (iii) both the contract costs to complete the contract and the stage of contract completion at the reporting date can be measured reliably; and (iv) the contract costs attributable to the contract can be clearly identified and measured reliably so that actual contract costs incurred can be compared with prior estimates. As per paragraph 23, the outcome of a cost plus contract can be estimated reliably when all the following conditions are satisfied: (i) it is probable that the economic benefits associated with the contract will flow to the enterprise; and (ii) the contract costs attributable to the contract, whether or not specifically reimbursable, can be clearly identified and measured reliably. Example 1 (The percentage completion method) X Ltd. commenced a construction contract on 01/04/08. The fixed contract price agreed was ` 2,00,000. The company incurred ` 81,000 in 2008-09 for 45% work and received ` 79,000 as progress payment from the customer. The cost incurred in 2009-10 was ` 89,000 to complete the rest of work. Solution: Profit & Loss A/c Year ` 000 Year ` 000 To Construction By Contract Price 2008-10 Costs 81 2008-09 (45% of Contract 90 (for 45% work) Price) To Net profit 9 (for 45% work) 90 90 By Contract Price To Construction costs 2009-10 89 2009-10 (55% of Contract 110 (for 55% work) Price) To Net Profit 21 (for 55% work) 110 110 Customer A/c Year ` 000 Year ` 000 2008-09 To Contract Price 90 2008-09 By Bank 79 1.52 © The Institute of Chartered Accountants of India Accounting Standards By Balance c/d 11 90 90 2009-10 To Balance b/d 11 2009-10 To Contract Price 110 By Bank 121 121 121 The amount of contract revenue recognised in the statement of profit and loss as per the requirements of AS 7 should be considered as turnover according to Accounting Standards Interpretation (ASI) 29. This means, the revenue recognised by percentage completion method should not be described as work-in progress. It may also be noted that as per the scheme for applicability of accounting standards, enterprises having turnover exceeding ` 50 crores treated as level I enterprises. The implication of ASI 29 is, that the proportionate revenue recognised in the statement of profit and loss by a contractor, should be taken in computation of turnover for the purpose of the scheme. This is important because level I enterprises are required to comply with all applicable accounting standards in entirety. The paragraph 31 provides that the percentage completion method should not be applied if the outcome of a construction contract cannot be estimated reliably. In such cases: (a) revenue should be recognised only to the extent of contract costs incurred of which recovery is probable; and (b) contract costs should be recognised as an expense in the period in which they are incurred. An expected loss on the construction contract should however be recognised as an expense immediately. When the uncertainties that prevented the outcome of the contract being estimated reliably cease to exist, revenue and expenses associated with the construction contract should be recognised by the percentage completion method. (Para 34) Example 2 X Ltd. commenced a construction contract on 01/04/09. The contract price agreed was reimbursable cost plus 20%. The company incurred ` 1,00,000 in 2009-10, of which ` 90,000 is reimbursable. The further non-reimbursable costs to be incurred to complete the contract are estimated at ` 5,000. The other costs to complete the contract could not be estimated reliably. The Profit & Loss A/c extract of X Ltd. for 2009-10 is shown below: Profit & Loss A/c ` 000 ` 000 To Construction Costs 100 By Contract Price 90 To Provision for loss 5 By Net loss 15 105 105 1.53 © The Institute of Chartered Accountants of India Accounting Treatment of costs relating to future activity (Para 26) Under the percentage of completion method, contract revenue is recognised as revenue in the statement of profit and loss in the accounting periods in which the work is performed. Contract costs are usually recognised as an expense in the statement of profit and loss in the accounting periods in which the work to which they relate is performed. The contract costs that relate to future activity on the contract are however recognised as an asset provided it is probable that they will be recovered. Such costs represent an amount due from the customer and are often classified as contract work in progress. Uncollectable Contract Revenue (Para 27) When an uncertainty arises about the collectability of an amount already included in contract revenue, and already recognised in the statement of profit and loss, the uncollectable amount or the amount in respect of which recovery has ceased to be probable is recognised as an expense rather than as an adjustment of the amount of contract revenue. Stage of Completion (Para 29) The stage of completion of a contract may be determined in a variety of ways. Depending on the nature of the contract, the methods may include: (a) the proportion that contract costs incurred for work performed upto the reporting date bear to the estimated total contract costs; or (b) surveys of work performed; or (c) completion of a physical proportion of the contract work. Progress payments and advances received from customers may not necessarily reflect the work performed. Example 3 Show Profit & Loss A/c (Extract) in books of a contractor in respect of the following data. ` 000 Contract price (Fixed) 600 Cost incurred to date 390 Estimated cost to complete 260 Solution ` 000 A. Cost incurred to date 390 B. Estimate of cost to completion 260 C. Estimated total cost 650 D. Degree of completion (A/C) 60% E. Revenue Recognized (60% of 600) 360 1.54 © The Institute of Chartered Accountants of India Accounting Standards Total foreseeable loss (650 – 600) 50 Less: Loss for current year (E – A) 30 Expected loss to be recognised immediately 20 Profit & Loss A/c ` ` To Construction costs 390 By Contract Price 360 To Provision for loss 20 By Net Loss 50 410 410 Combining and Segmenting Construction Contracts A contractor may undertake a number of contracts. The percentage completion method may not however be appropriate in all cases. Each of the contracts should be tested on the basis of respective facts for electing the appropriate method of revenue recognition. The standard identifies certain cases where for the purposes of accounting, (i) More than one contract can be taken as one and (ii) a single contract can be taken as to comprise of more than one contract. (a) When a contract covers a number of assets, the construction of each asset should be treated as a separate construction contract when: (i) separate proposals have been submitted for each asset; (ii) each asset has been subject to separate negotiation and the contractor and customer have been able to accept or reject that part of the contract relating to each asset; and (iii) the costs and revenues of each asset can be identified. (b) A group of contracts, whether with a single customer or with several customers, should be treated as a single construction contract when: (i) the group of contracts is negotiated as a single package; (ii) the contracts are so closely interrelated that they are, in effect, part of a single project with an overall profit margin; and (iii) the contracts are performed concurrently or in a continuous sequence. (c) A contract may provide for the construction of an additional asset at the option of the customer or may be amended to include the construction of an additional asset. As per paragraph 9, the construction of the additional asset should be treated as a separate construction contract when: (i) the asset differs significantly in design, technology or function from the asset or assets covered by the original contract; or 1.55 © The Institute of Chartered Accountants of India Accounting (ii) the price of the asset is negotiated without regard to the original contract price. Contract Revenue and costs (a) As per paragraph 10, contract revenue should comprise: (i) the initial amount of revenue agreed in the contract; and (ii) variations in contract work, claims and incentive payments to the extent that it is probable that they will result in revenue and they are capable of being reliably measured. (b) As per paragraph 15, contract costs should comprise: (i) costs that relate directly to the specific contract; (ii) costs that are attributable to contract activity in general and can be allocated to the contract; and (iii) such other costs as are specifically chargeable to the customer under the terms of the contract. Note: 1. Direct costs can be reduced by incidental income, e.g. sale of surplus material, not included in contract revenue. (Paragraph 16) 2. The allocation of indirect costs should be based on normal levels of construction activity. The allocable costs may include borrowing costs as per AS 16. (Paragraph 17) Changes in Estimates (Para 37) The percentage of completion method is applied on a cumulative basis in each accounting period to the current estimates of contract revenue and contract costs. Therefore, the effect of a change in the estimate of contract revenue or contract costs, or the effect of a change in the estimate of the outcome of a contract, is accounted for as a change in accounting estimate in accordance with AS 5. The changed estimates are used in determination of the amount of revenue and expenses recognised in the statement of profit and loss in the period in which the change is made and in subsequent periods. Disclosure (a) The paragraph 38 requires an enterprise to disclose: (i) the amount of contract revenue recognised as revenue in the period; (ii) the methods used to determine the contract revenue recognised in the period; and (iii) the methods used to determine the stage of completion of contracts in progress. (b) The paragraph 39 requires the following disclosures in respect of contracts in progress at the reporting date: 1.56 © The Institute of Chartered Accountants of India Accounting Standards (c) the aggregate amount of costs incurred and recognised profits (less recognised losses) upto the reporting date; (i) the amount of advances received; and (ii) the amount of retentions. (d) The Paragraph 41 requires an enterprise to present: (i) the gross amount due from customers for contract work as an asset; and (ii) the gross amount due to customers for contract work as a liability. 2.4.6 Revenue Recognition (AS 9) This Standard is mandatory for all enterprises. Revenue is the gross inflow of cash, receivables or other consideration arising in the course of the ordinary activities of an enterprise from the sale of goods, from the rendering of services, and from the use by others of enterprise resources yielding interest, royalties and dividends. Revenue is measured by the charges made to customers or clients for goods supplied and services rendered to them and by the charges and rewards arising from the use of resources by them. In an agency relationship, the revenue is the amount of commission and not the gross inflow of cash, receivables or other consideration. This Statement does not deal with the following aspects of revenue recognition to which special considerations apply: i. Revenue arising from construction contracts; ii. Revenue arising from hire-purchase, lease agreements; iii. Revenue arising from government grants and other similar subsidies; iv. Revenue of insurance companies arising from insurance contracts. Examples of items not included within the definition of “revenue” for the purpose of this Statement are: i. Realised gains resulting from the disposal of, and unrealised gains resulting from the holding of, non-current assets e.g. appreciation in the value of fixed assets; ii. Unrealised holding gains resulting from the change in value of current assets, and the natural increases in herds and agricultural and forest products; iii. Realised or unrealised gains resulting from changes in foreign exchange rates and adjustments arising on the translation of foreign currency financial statements; iv. Realised gains resulting from the discharge of an obligation at less than its carrying amount; v Unrealised gains resulting from the restatement of the carrying amount of an obligation. 1.57 © The Institute of Chartered Accountants of India Accounting Sale of Goods A key criterion for determining when to recognise revenue from a transaction involving the sale of goods is that the seller has transferred the property in the goods to the buyer for a consideration. The transfer of property in goods, in most cases, results in or coincides with the transfer of significant risks and rewards of ownership to the buyer. However, there may be situations where transfer of property in goods does not coincide with the transfer of significant risks and rewards of ownership. Revenue in such situations is recognised at the time of transfer of significant risks and rewards of ownership to the buyer. At certain stages in specific industries, such as when agricultural crops have been harvested or mineral ores have been extracted, performance may be substantially complete prior to the execution of the transaction generating revenue. In such cases when sale is assured under a forward contract or a government guarantee or where market exists and there is a negligible risk of failure to sell, the goods involved are often valued at net realisable value. Such amounts, while not revenue as defined in this Statement, are sometimes recognised in the statement of profit and loss and appropriately described. Example 1 The stages of production and sale of a producer are as follows (all in Rupees): Stage Activity Costs to date Net Realisable Value A Raw Materials 10,000 8,000 B WIP 1 12,000 13,000 C WIP 2 15,000 19,000 D Finished Product 17,000 30,000 E For Sale 17,000 30,000 F Sale Agreed 17,000 30,000 G Delivered 18,000 30,000 H Paid For 18,000 30,000 State and explain the stage at which you think revenue will be recognized and how much would be gross profit and net profit on a unit of this product? Solution According to AS – 9, sales will be recognized only following two conditions are satisfied: 1. The sale value is fixed and determinable. 2. property of the goods are transferred to the customer. Both these conditions are satisfied only at Stage F when sales are agreed upon at a price and goods allocated for delivery purpose. Gross Profit will be determined at Stage E, when goods are ready for sale after all necessary process for production is over i.e. ` 13,000 (30,000 – 17,000). 1.58 © The Institute of Chartered Accountants of India Accounting Standards Net Profit will be determined at Stage H, when goods are delivered and payment collected i.e. ` 12,000 (30,000 – 18,000). Rendering of Services Revenue from service transactions is usually recognised as the service is performed, either by the proportionate completion method or by the completed service contract method. Proportionate completion method is a method of accounting which recognises revenue in the statement of profit and loss proportionately with the degree of completion of services under a contract. Here performance consists of the execution of more than one act. Revenue is recognised proportionately by reference to the performance of each act. Completed service contract method is a method of accounting which recognises revenue in the statement of profit and loss only when the rendering of services under a contract is completed or substantially completed. In this method performance consists of the execution of a single act. Alternatively, services are performed in more than a single act, and the services yet to be performed are so significant in relation to the transaction taken as a whole that performance cannot be deemed to have been completed until the execution of those acts. The completed service contract method is relevant to these patterns of performance and accordingly revenue is recognised when the sole or final act takes place and the service becomes chargeable Use by Others of Enterprise Resources Yielding Interest, Royalties and Dividends Use by others of such enterprise resources gives rise to: i. Interest: charges for the use of cash resources or amounts due to the enterprise. Revenue is recognized on a time proportion basis taking into account the amount outstanding and the rate applicable. ii. Royalties: charges for the use of such assets as know-how, patents, trade marks and copyrights. Revenue is recognized on an accrual basis in accordance with the terms of the relevant agreement. iii. Dividends: rewards from the holding of investments in shares. Revenue is recognized when the owner’s right to receive payment is established. Effect of Uncertainties on Revenue Recognition Where the ability to assess the ultimate collection with reasonable certainty is lacking at the time of raising any claim, revenue recognition is postponed to the extent of uncertainty involved. In such cases: When the uncertainty relating to collectability arises subsequent to the time of sale or the rendering of the service, it is more appropriate to make a separate provision to reflect the uncertainty rather than to adjust the amount of revenue originally recorded. An essential criterion for the recognition of revenue is that the consideration receivable for the sale of goods, the rendering of services or from the use by others of enterprise resources is 1.59 © The Institute of Chartered Accountants of India Accounting reasonably determinable. When such consideration is not determinable within reasonable limits, the recognition of revenue is postponed. Disclosure An enterprise should disclose the circumstances in which revenue recognition has been postponed pending the resolution of significant uncertainties. Example 2 A public sector company is trading gold in India for its customers, after purchasing gold the price of gold is fixed within 120 days as per rules and regulations of Indian Bullion Market by the customer. At the close of year, price of some gold was not fixed on March 31, 2010. The details are given below: Quantity of Gold = 10,000 TT Bars Gold Rate as on March 31, 2010 = ` 275 per TT Bar Gold Rate was fixed on June 26, 2010 before the finalization of accounts of company = ` 273 per TT Bar Calculate the amount of sales regarding 10,000 TT Bars to be booked in the company’s account for the year ended March 31, 2010. Solution: We need to refer to AS 5 along with AS 9 in this case, since gold is an item which has ready market hence they should be valued at the market price. So, as event occurring after the balance sheet date, the price of gold is fixed at ` 273 per TT Bar, gold will be valued at that rate. 2.4.7 Accounting For Fixed Assets (AS 10) After introduction of AS – 16; 19 & 26, provisions relating to respective AS are held withdrawn and the rest is mandatory from the accounting year 1-4-2000. This statement does not deal with accounting for the following items to which special considerations apply: i. Forests, plantations and similar regenerative natural resources. ii. Wasting assets including mineral rights, expenditure on the exploration for and extraction of minerals, oil, natural gas and similar non-regenerative resources. iii. Expenditure on real estate development and iv. Livestock. Identification of Fixed Assets Fixed asset is an asset held with the intention of being used for the purpose of producing or providing goods or services and is not held for sale in the normal course of business. 1.60 © The Institute of Chartered Accountants of India Accounting Standards Stand-by equipment and servicing equipment are normally capitalised. Machinery spares are usually charged to the profit and loss statement as and when consumed. However, if such spares can be used only in connection with an item of fixed asset, it may be appropriate to allocate the total cost on a systematic basis over a period not exceeding the useful life of the principal item. Components of Cost Gross book value of a fixed asset is its historical cost or other amount substituted for historical cost in the books of account or financial statements. When this amount is shown net of accumulated depreciation, it is termed as net book value. The cost of an item of fixed asset comprises its purchase price, including import duties and other non-refundable taxes or levies and any directly attributable cost of bringing the asset to its working condition for its intended use; any trade discounts and rebates are deducted in arriving at the purchase price. The cost of a fixed asset may undergo changes subsequent to its acquisition or construction on account of exchange fluctuations, price adjustments, changes in duties or similar factors. The expenditure incurred on start-up and commissioning of the project, including the expenditure incurred on test runs and experimental production, is usually capitalised as an indirect element of the construction cost. If the interval between the date a project is ready to commence commercial production and the date at which commercial production actually begins is prolonged, all expenses incurred during this period are charged to the profit and loss statement. Self-constructed Fixed Assets Included in the gross book value are costs of construction that relate directly to the specific asset and costs that are attributable to the construction activity in general and can be allocated to the specific asset. Any internal profits are eliminated in arriving at such costs. Example ABC Ltd. is constructing a fixed asset. Following are the expenses incurred on the construction: Materials ` 10,00,000 Direct Expenses ` 2,50,000 Total Direct Labour ` 5,00,000 (1/10th of the total labour time was chargeable to the construction) Total office & administrative expenses ` 8,00,000 (5% is chargeable to the construction) Depreciation on the assets used for the construction of this assets ` 10,000 Calculate the cost of fixed assets. 1.61 © The Institute of Chartered Accountants of India Accounting Solution Calculation of the cost of construction of Assets Particulars ` Direct Materials 1,000,000 Direct Labour 50,000 Direct Expenses 250,000 Office & Administrative Expenses 40,000 Depreciation 10,000 Cost of the Asset 1,350,000 Non-monetary Consideration When a fixed asset is acquired in exchange for another asset, its cost is usually determined by reference to the fair market value of the consideration given. It may be appropriate to consider also the fair market value of the asset acquired if this is more clearly evident. When a fixed asset is acquired in exchange for shares or other securities in the enterprise, it is usually recorded at its fair market value, or the fair market value of the securities issued, whichever is more clearly evident. Fair market value is the price that would be agreed to in an open and unrestricted market between knowledgeable and willing parties dealing at arm’s length who are fully informed and are not under any compulsion to transact. Improvements and Repairs Any expenditure that increase the future benefits from the existing asset beyond its previously assessed standard of performance is included in the gross book value, e.g., an increase in capacity. The cost of an addition or extension to an existing asset, which has a separate identity and is capable of being used after the existing asset is disposed of, is accounted for separately. Amount Substituted for Historical Cost The revalued amounts of fixed assets are presented in financial statements either by restating both the gross book value and accumulated depreciation so as to give a net book value equal to the net revalued amount or by restating the net book value by adding therein the net increase on account of revaluation. Different bases of valuation are sometimes used in the same financial statements to determine the book value of the separate items within each of the categories of fixed assets or for the different categories of fixed assets. In such cases, it is necessary to disclose the gross book value included on each basis. It is not appropriate for the revaluation of a class of assets to result in the net book value of that class being greater than the recoverable amount of the assets of that class. 1.62 © The Institute of Chartered Accountants of India Accounting Standards An increase in net book value arising on revaluation of fixed assets is normally credited directly to owner’s interests under the heading of revaluation reserves and is regarded as not available for distribution. A decrease in net book value arising on revaluation of fixed assets is charged to profit and loss statement except that, to the extent that such a decrease is considered to be related to a previous increase on revaluation that is included in revaluation reserve. Retirements and Disposals Items of fixed assets that have been retired from active use and are held for disposal are stated at the lower of their net book value and net realisable value and are shown separately in the financial statements. Any expected loss is recognised immediately in the profit and loss statement. On disposal of a previously revalued item of fixed asset, the difference between net disposal proceeds and the net book value is normally charged or credited to the profit and loss statement except that, to the extent such a loss is related to an increase which was previously recorded as a credit to revaluation reserve and which has not been subsequently reversed or utilised, it is charged directly to that account. The amount standing in revaluation reserve following the retirement or disposal of an asset which relates to that asset may be transferred to general reserve. Hire Purchases In the case of fixed assets acquired on hire purchase terms, although legal ownership does not vest in the enterprise, such assets are recorded at their cash value, which, if not readily available, is calculated by assuming an appropriate rate of interest. They are shown in the balance sheet with an appropriate narration to indicate that the enterprise does not have full ownership thereof. Joint Ownership Where an enterprise owns fixed assets jointly with others, the extent of its share in such assets, and the proportion in the original cost, accumulated depreciation and written down value are stated in the balance sheet. Alternatively, the pro rata cost of such jointly owned assets is grouped together with similar fully owned assets. Details of such jointly owned assets are indicated separately in the fixed assets register. Goodwill Goodwill, in general, is recorded in the books only when some consideration in money or money’s worth has been paid for it. As a matter of financial prudence, goodwill is written off over a period. However, many enterprises do not write off goodwill and retain it as an asset. Patents Patents are normally acquired in two ways: (i) by purchase, in which case patents are valued at the purchase cost including incidental expenses, stamp duty, etc. and (ii) by development within the enterprise, in which case identifiable costs incurred in developing the patents are 1.63 © The Institute of Chartered Accountants of India Accounting capitalised. Patents are normally written off over their legal term of validity or over their working life, whichever is shorter. Know How Know-how in general is recorded in the books only when some consideration in money or money’s worth has been paid for it. Know-how is generally of two types: Relating to manufacturing processes and Relating to plans, designs and drawings of buildings or plant and machinery. Know-how related to plans, designs and drawings of buildings or plant and machinery is capitalised under the relevant asset heads. In such cases depreciation is calculated on the total cost of those assets, including the cost of the know-how capitalised. Know-how related to manufacturing processes is usually expensed in the year in which it is incurred. Disclosure i. Gross and net book values of fixed assets at the beginning and end of an accounting period showing additions, disposals, acquisitions and other movements; ii. Expenditure incurred on account of fixed assets in the course of construction or acquisition; and iii. Revalued amounts substituted for historical costs of fixed assets, the method adopted to compute the revalued amounts, the nature of any indices used, the year of any appraisal made, and whether an external valuer was involved, in case where fixed assets are stated at revalued amounts. Example On March 01, 2011, X Ltd. purchased ` 5 lakhs worth of land for a factory site. Company demolished an old building on the property and sold the material for ` 10,000. Company incurred additional cost and realized salvaged proceeds during the March 2011 as follows: Legal fees for purchase contract and recording ownership ` 25,000 Title guarantee insurance ` 10,000 Cost for demolition of building ` 30,000 In March 31, 2011 balance sheet, X Ltd. should report a balance in the land account. Solution Calculation of the cost for Purchase of Land Particulars ` Cost of Land 500,000 Legal Fees 25,000 Title Insurance 10,000 Cost of Demolition 50,000 1.64 © The Institute of Chartered Accountants of India Accounting Standards Less: Salvage value of Material 10,000 40,000 Cost of the Asset 575,000 2.4.8 Accounting for Investments (AS 13) This Accounting Standard comes into effect for financial statements covering periods commencing on or after April 1, 1995. This Statement does not deal with: a. The bases for recognition of interest, dividends and rentals earned on investments which are covered by AS 9. b. Operating or finance leases. c. Investments of retirement benefit plans and life insurance enterprises and d. Mutual funds and/or the related asset management companies, banks and public financial institutions formed under a Central or State Government Act or so declared under the Companies Act, 1956. Fair value is the amount for which an asset could be exchanged between a knowledgeable, willing buyer and a knowledgeable, willing seller in an arm’s length transaction. Under appropriate circumstances, market value or net realisable value provides an evidence of fair value. Market value is the amount obtainable from the sale of an investment in an open market, net of expenses necessarily to be incurred on or before disposal. Forms of Investments Investments are assets held by an enterprise for earning income by way of dividends, interest, and rentals, for capital appreciation, or for other benefits to the investing enterprise. Assets held as stock-in-trade are not ‘investments’. Enterprises hold investments for diverse reasons. For some enterprises, investment activity is a significant element of operations, and assessment of the performance of the enterprise may largely, or solely, depend on the reported results of this activity. Some investments have no physical existence and are represented merely by certificates or similar documents (e.g., shares) while others exist in a physical form (e.g., buildings). For some investments, an active market exists from which a market value can be established. For other investments, an active market does not exist and other means are used to determine fair value. Classification of Investments A current investment is an investment that is by its nature readily realisable and is intended to be held for not more than one year from the date on which such investment is made. A long term investment is an investment other than a current investment. 1.65 © The Institute of Chartered Accountants of India Accounting Cost of Investments The cost of an investment includes acquisition charges such as brokerage, fees and duties. If an investment is acquired, or partly acquired, by the issue of shares or other securities or another assets, the acquisition cost is the fair value of the securities issued or assets given up. The fair value may not necessarily be equal to the nominal or par value of the securities issued. It may be appropriate to consider the fair value of the investment acquired if it is more clearly evident. Interest, dividends and rentals receivables in connection with an investment are generally regarded as income, being the return on the investment. However, in some circumstances, such inflows represent a recovery of cost and do not form part of income. If it is difficult to make such an allocation except on an arbitrary basis, the cost of investment is normally reduced by dividends receivable only if they clearly represent a recovery of a part of the cost. When right shares offered are subscribed for, the cost of the right shares is added to the carrying amount of the original holding. If rights are not subscribed for but are sold in the market, the sale proceeds are taken to the profit and loss statement. However, where the investments are acquired on cum-right basis and the market value of investments immediately after their becoming ex-right is lower than the cost for which they were acquired, it may be appropriate to apply the sale proceeds of rights to reduce the carrying amount of such investments to the market value. Carrying Amount of Investments The carrying amount for current investments is the lower of cost and fair value. Valuation of current investments on overall basis is not considered appropriate. The more prudent and appropriate method is to carry investments individually at the lower of cost and fair value. Any reduction to fair value and any reversals of such reductions are included in the Profit & Loss Statement. Long-term investments are usually carried at cost. Where there is a decline, other than temporary, in the carrying amounts of long term investments, the resultant reduction in the carrying amount is charged to the profit and loss statement. The reduction in carrying amount is reversed when there is a rise in the value of the investment, or if the reasons for the reduction no longer exist. Investment Properties An investment property is an investment in land or buildings that are not intended to be occupied substantially for use by, or in the operations of, the investing enterprise. The cost of any shares in a co-operative society or a company, the holding of which is directly related to the right to hold the investment property, is added to the carrying amount of the investment property. 1.66 © The Institute of Chartered Accountants of India Accounting Standards Disposal of Investments On disposal of an investment, the difference between the carrying amount and the disposal proceeds, net of expenses, is recognised in the profit and loss statement. When disposing of a part of the holding of an individual investment, the carrying amount to be allocated to that part is to be determined on the basis of the average carrying amount of the total holding of the investment. Reclassification of Investments Where long-term investments are reclassified as current investments, transfers are made at the lower of cost and carrying amount at the date of transfer. Where investments are reclassified from current to long-term, transfers are made at the lower of cost and fair value at the date of transfer. Disclosure The following disclosures in financial statements in relation to investments are appropriate: - a. The accounting policies for the determination of carrying amount of investments. b. The amounts included in profit and loss statement for: i. Interest, dividends (showing separately dividends from subsidiary companies), and rentals on investments showing separately such income from long term and current investments. Gross income should be stated, the amount of income tax deducted at source being included under Advance Taxes Paid. ii. Profits and losses on disposal of current investments and changes in carrying amount of such investments. iii. Profits and losses on disposal of long term investments and changes in the carrying amount of such investments. c. Significant restrictions on the right of ownership, realisability of investments or the remittance of income and proceeds of disposal. d. The aggregate amount of quoted and unquoted investments, giving the aggregate market value of quoted investments. e. Other disclosures as specifically required by the relevant statute governing the enterprise. 2.4.9 Accounting for Amalgamations (AS 14) This standard is mandatory in nature. It deals with accounting for amalgamations and the treatment of any resultant goodwill or reserves. This statement is directed principally to companies although some of its requirements also apply to financial statements of other enterprises. 1.67 © The Institute of Chartered Accountants of India Accounting This statement does not deal with cases of acquisitions. The distinguishing feature of an acquisition is that the acquired company is not dissolved and its separate entity continues to exist. Amalgamation means an amalgamation pursuant to the provisions of the Companies Act, 1956 or any other statute which may be applicable to companies. Transferor company means the company which is amalgamated into another company. Transferee company means the company into which a transferor company is amalgamated. Types of Amalgamations Amalgamations fall into two broad categories : In the first category are those amalgamations where there is a genuine pooling not merely of the assets and liabilities of the amalgamating companies but also of the shareholders’ interests and of the businesses of these companies. These are known as Amalgamation in nature of merger. Other is known as Amalgamation in nature of purchase. Amalgamation in the nature of merger is an amalgamation which satisfies all the following conditions. i. All the assets and liabilities of the transferor company become, after amalgamation, the assets and liabilities of the transferee company. ii. Shareholders holding not less than 90% of the face value of the equity shares of the transferor company (other than the equity shares already held therein, immediately before the amalgamation, by the transferee company or its subsidiaries or their nominees) become equity shareholders of the transferee company by virtue of the amalgamation. iii. The consideration for the amalgamation receivable by those equity shareholders of the transferor company who agree to become equity shareholders of the transferee company is discharged by the transferee company wholly by the issue of equity shares in the transferee company, except that cash may be paid in respect of any fractional shares. iv. The business of the transferor company is intended to be carried on, after the amalgamation, by the transferee company. v No adjustment is intended to be made to the book values of the assets and liabilities of the transferor company when they are incorporated in the financial statements of the transferee company except to ensure uniformity of accounting policies. Amalgamation in the nature of purchase is an amalgamation which does not satisfy any one or more of the conditions specified above. Methods of Accounting for Amalgamations There are two main methods of accounting for amalgamations the pooling of interests method and the purchase method. 1.68 © The Institute of Chartered Accountants of India Accounting Standards Pooling of interests Under this method, the assets, liabilities and reserves of the transferor company are recorded by the transferee company at their existing carrying amounts. If, at the time of the amalgamation, the transferor and the transferee companies have conflicting accounting policies, a uniform set of accounting policies is adopted following the amalgamation. The effects on the financial statements of any changes in accounting policies are reported in accordance with AS 5. The Purchase Method Under the purchase method, the transferee company accounts for the amalgamation either by incorporating the assets and liabilities at their existing carrying amounts or by allocating the consideration to individual identifiable assets and liabilities of the transferor company on the basis of their fair values at the date of amalgamation. The identifiable assets and liabilities may include assets and liabilities not recorded in the financial statements of the transferor company. Consideration for the amalgamation means the aggregate of the shares and other securities issued and the payment made in the form of cash or other assets by the transferee company to the shareholders of the transferor company. Many amalgamations recognise that adjustments may have to be made to the consideration in the light of one or more future events. When the additional payment is probable and can reasonably be estimated at the date of amalgamation, it is included in the calculation of the consideration. In all other cases, the adjustment is recognised as soon as the amount is determinable [AS 4]. Example A Ltd. take over B Ltd. on April 01, 2006 and discharges consideration for the business as follows: (i) Issued 42,000 fully paid equity shares of ` 10 each at par to the equity shareholders of B Ltd. (ii) Issued fully paid up 15% preference shares of ` 100 each to discharge the preference shareholders (` 1,70,000) of B Ltd. at a premium of 10%. (iii) It is agreed that the debentures of B Ltd. (` 50,000) will be converted into equal number and amount of 13% debentures of A Ltd. Solution: Particulars ` ` Equity Shares (42,000 x 10) 4,20,000 Preference Share Capital 1,70,000 Add : Premium on Redemption 17,000 1,87,000 Purchase Consideration 6,07,000 1.69 © The Institute of Chartered Accountants of India Accounting Treatment of Reserves on Amalgamation If the amalgamation is an ‘amalgamation in the nature of merger’, the identity of the reserves is preserved and they appear in the financial statements of the transferee company in the same form in which they appeared in the financial statements of the transferor company. As a result of preserving the identity, reserves which are available for distribution as dividend before the amalgamation would also be available for distribution as dividend after the amalgamation. The difference between the amount recorded as share capital issued (plus any additional consideration in the form of cash or other assets) and the amount of share capital of the transferor company is adjusted in reserves in the financial statements of the transferee company. If the amalgamation is an ‘amalgamation in the nature of purchase’, the amount of the consideration is deducted from the value of the net assets of the transferor company acquired by the transferee company. If the result of the computation is negative, the difference is debited to goodwill arising on amalgamation and if the result of the computation is positive, the difference is credited to Capital Reserve. In the case of an ‘amalgamation in the nature of purchase’, the balance of the Profit and Loss Account appearing in the financial statements of the transferor company, whether debit or credit, loses its identity. Certain reserves may have been created by the transferor company pursuant to the requirements of certain acts, referred to hereinafter as ‘statutory reserves’. Such reserves retain their identity in the financial statements of the transferee company in the same form in which they appeared in the financial statements of the transferor company, so long as their identity is required to be maintained to comply with the relevant statute. This exception is made only in those amalgamations where the requirements of the relevant statute for recording the statutory reserves in the books of the transferee company are complied with. In such cases the statutory reserves are recorded in the financial statements of the transferee company by a corresponding debit to a suitable account head (e.g., ‘Amalgamation Adjustment Account’) which is disclosed as a part of ‘miscellaneous expenditure’ or other similar category in the balance sheet. When the identity of the statutory reserves is no longer required to be maintained, both the reserves and the aforesaid account are reversed. Treatment of Goodwill Arising on Amalgamation Goodwill arising on amalgamation represents a payment made in anticipation of future income and it is appropriate to treat it as an asset to be amortised to income on a systematic basis over its useful life. Due to the nature of goodwill, it is frequently difficult to estimate its useful life with reasonable certainty. Such estimation is, therefore, made on a prudent basis. Accordingly, it is considered appropriate to amortise goodwill over a period not exceeding five years unless a somewhat longer period can be justified. Illustration The following are the balance sheets of A Ltd. and B Ltd. as on March 31, 2011: 1.70 © The Institute of Chartered Accountants of India Accounting Standards Liabilities A Ltd. (` ) B Ltd. (` ) Equity Shares, ` 10 each, fully paid up 7,20,000 3,00,000 14% Preference Share Capital, ` 100 each, fully paid up 1,50,000 1,70,000 Securities Premium 1,50,000 Capital Reserve 13,000 General Reserve 80,000 45,000 Export Profit Reserve 20,000 Profit and Loss Account 75,000 40,000 Workmen Compensation Fund 9,000 13% Debentures, ` 100 each, fully paid up 1,00,000 50,000 Creditors 1,15,000 35,000 Provision for Taxation 15,000 10,000 14,05,000 6,92,000 Assets Goodwill 2,00,000 60,000 Land and Buildings 2,50,000 Plant and Machinery 3,25,000 2,70,000 Furniture and Fixtures 57,000 95,000 Stock 2,15,000 1,75,000 Debtors 72,000 30,000 Income Tax Refund Claim 6,000 Cash at Bank 2,16,000 50,000 Cash in Hand 70,000 Preliminary Expenses 6,000 14,05,000 6,92,000 A Ltd. take over B Ltd. on April 01, 2011 and discharges consideration for the business as follows: a. Issued 42,000 fully paid equity shares of ` 10 each at par to the equity shareholders of B Ltd. b. Issued fully paid up 15% preference shares of ` 100 each to discharge the preference shareholders of B Ltd. at a premium of 10%. c. It is agreed that the debentures of B Ltd. will be converted into equal number and amount of 13% debentures of A Ltd. d. The Statutory Reserve of B Ltd. is to be maintained for two more years. 1.71 © The Institute of Chartered Accountants of India Accounting e. Expenses of amalgamation amounting to ` 15,000 are borne by A Ltd. Solution Since all the five conditions are satisfied, it is amalgamation in the nature of merger. Following are the journal entries in the books of A Ltd. and the calculation of the Purchase Consideration. Particulars Dr. (` ) Cr. (` ) Goodwill Account Dr. 60,000 Plant & Machinery Account Dr. 270,000 Furniture & Fixtures Account Dr. 95,000 Stock Account Dr. 175,000 Debtors Account Dr. 30,000 IT Refund Account Dr. 6,000 Bank Account Dr. 50,000 Preliminary Expenses Account Dr. 6,000 General Reserve Account (Balancing Figure) Dr. 52,000 To Capital Reserve Account 13,000 To Export Profit Reserve Account 20,000 To Workmen Compensation Fund Account 9,000 To 13% Debentures Account 50,000 To Creditors Account 35,000 To Provision for Tax Account 10,000 To Business Purchase Account 607,000 Business Purchase Account Dr. 607,000 To B Ltd. Liquidator Account 607,000 B Ltd. Liquidator Account Dr. 607,000 To Equity Share Capital Account 420,000 To Preference Share Capital 187,000 13% Debentures Account (In B Ltd.) Dr. 50,000 To 13% Debentures Account (In A Ltd.) 50,000 General Reserve Account Dr. 15,000 To Bank Account 15,000 If we consider that the fifth point i.e. business of B Ltd. was not carried on by A Ltd. then it will be Amalgamation in the nature of Purchase and the journal entries in the books of A Ltd. will be as follow: Particulars Dr. (` ) Cr. (` ) Goodwill Account (Balancing Figure) Dr. 76,000 1.72 © The Institute of Chartered Accountants of India Accounting Standards Plant & Machinery Account Dr. 270,000 Furniture & Fixtures Account Dr. 95,000 Stock Account Dr. 175,000 Debtors Account Dr. 30,000 IT Refund Account Dr. 6,000 Bank Account Dr. 50,000 To 13% Debentures Account 50,000 To Creditors Account 35,000 To Provision for Tax Account 10,000 To Business Purchase Account 607,000 Business Purchase Account Dr. 607,000 To B Ltd. Liquidator Account 607,000 B Ltd. Liquidator Account Dr. 607,000 To Equity Share Capital Account 420,000 To Preference Share Capital 187,000 13% Debentures Account (In B Ltd.) Dr. 50,000 To 13% Debentures Account (In A Ltd.) 50,000 Goodwill Account Dr. 15,000 To Bank Account 15,000 Amalgamation Adjustment Account Dr. 20,000 To Export Profit Reserve Account 20,000 Disclosure For all amalgamations, the following disclosures are considered appropriate in the first financial statements following the amalgamation: a. Names and general nature of business of the amalgamating companies; b. Effective date of amalgamation for accounting purposes; c. The method of accounting used to reflect the amalgamation; and d. Particulars of the scheme sanctioned under a statute. For amalgamations accounted for under the pooling of interests method, the following additional disclosures are considered appropriate in the first financial statements following the amalgamation: a. Description and number of shares issued, together with the percentage of each company’s equity shares exchanged to effect the amalgamation; 1.73 © The Institute of Chartered Accountants of India Accounting b. The amount of any difference between the consideration and the value of net identifiable assets acquired, and the treatment thereof. For amalgamations accounted for under the purchase method, the following additional disclosures are considered appropriate in the first financial statements following the amalgamation: a. Consideration for the amalgamation and a description of the consideration paid or contingently payable; and b. The amount of any difference between the consideration and the value of net identifiable assets acquired, and the treatment thereof including the period of amortisation of any goodwill arising on amalgamation. Miscellaneous Illustrations Illustration 1 The company deals in three products, A, B and C, which are neither similar nor interchangeable. At the time of closing of its account for the year 2009-10, the Historical Cost and Net Realizable Value of the items of closing stock are determined as follows: Historical Cost Net Realisable Value Items (` in lakhs) (` in lakhs) A 40 28 B 32 32 C 16 24 What will be the value of Closing Stock? Solution As per para 5 of AS 2 on Valuation of Inventories, inventories should be valued at the lower of cost and net realizable value. Inventories should be written down to net realizable value on an item-by-item basis in the given case. Historical Cost Net Realisable Value Valuation of closing Items (` in lakhs) (` in lakhs) stock (` in lakhs) A 40 28 28 B 32 32 32 C 16 24 16 88 84 76 Hence, closing stock will be valued at ` 76 lakhs. Illustration 2 During the current year 2009−2010, X Limited made the following expenditure relating to its plant building: 1.74 © The Institute of Chartered Accountants of India Accounting Standards ` In lakhs Routine Repairs 4 Repairing 1 Partial replacement of roof tiles 0.5 Substantial improvements to the electrical wiring system which will increase efficiency 10 What amount should be capitalized? Solution As per para 12.1 of AS 10 on Accounting for Fixed Assets, expenditure that increases the future benefits from the existing asset beyond its previously assessed standard of performance is included in the gross book value, e.g., an increase in capacity. Hence, in the given case, Repairs amounting ` 5 lakhs and Partial replacement of roof tiles should be charged to profit and loss statement. ` 10 lakhs incurred for substantial improvement to the electrical writing system which will increase efficiency should be capitalized. Illustration 3 A plant was depreciated under two different methods as under: SLM W.D.V. Year (` in lakhs) (` in lakhs) 1 7.80 21.38 2 7.80 15.80 3 7.80 11.68 4 7.80 8.64 31.20 57.50 5 7.80 6.38 What should be the amount of resultant surplus/deficiency, if the company decides to switch over from W.D.V. method to SLM method for first four years? Also state, how will you treat the same in Accounts. Solution As per para 21 of AS 6 on Depreciation Accounting, when a change in the method of depreciation is made, depreciation should be recalculated in accordance with the new method from the date of the asset coming into use. The deficiency or surplus arising from retrospective recomputation of depreciation in accordance with the new method should be adjusted in the accounts in the year in which the method of depreciation is changed. In the given case, there is a surplus of ` 26.30 lakhs on account of change in method of depreciation, which will be credited to Profit and Loss Account. Such a change should be treated as a change in accounting policy and its effect should be quantified and disclosed. 1.75 © The Institute of Chartered Accountants of India Accounting Illustration 4 A firm of contractors obtained a contract for construction of bridges across river Revathi. The following details are available in the records kept for the year ended 31st March, 2011. (` in lakhs) Total Contract Price 1,000 Work Certified 500 Work not Certified 105 Estimated further Cost to Completion 495 Progress Payment Received 400 To be Received 140 The firm seeks your advice and assistance in the presentation of accounts keeping in view the requirements of AS 7 (Revised) issued by your institute. Solution (a) Amount of foreseeable loss (Rs in lakhs) Total cost of construction (500 + 105 + 495) 1,100 Less: Total contract price 1,000 Total foreseeable loss to be recognized as expense 100 According to para 35 of AS 7 (Revised 2002), when it is probable that total contract costs will exceed total contract revenue, the expected loss should be recognized as an expense immediately. (b) Contract work-in-progress i.e. cost incurred to date are ` 605 lakhs (Rs in lakhs) Work certified 500 Work not certified 105 605 This is 55% (605/1,100 × 100) of total costs of construction. (c) Proportion of total contract value recognised as revenue as per para 21 of AS 7 (Revised). 55% of ` 1,000 lakhs = ` 550 lakhs (d) Amount due from/to customers = Contract costs + Recognised profits – Recognised losses – (Progress payments received + Progress payments to be received) = [605 + Nil – 100 – (400 + 140)] ` in lakhs = [605 – 100 – 540] ` in lakhs Amount due to customers = ` 35 lakhs The amount of ` 35 lakhs will be shown in the balance sheet as liability. (e) The relevant disclosures under AS 7 (Revised) are given below: ` in lakhs Contract revenue 550 1.76 © The Institute of Chartered Accountants of India Accounting Standards Contract expenses 605 Recognised profits less recognized losses (100) Progress billings (400 + 140) 540 Retentions (billed but not received from contractee) 140 Gross amount due to customers 35 Illustration 5 In preparing the financial statements of R Ltd. for the year ended 31st March, 2011, you come across the following information. State with reasons, how you would deal with this in the financial statements: An unquoted long term investment is carried in the books at a cost of ` 2 lakhs. The published accounts of the unlisted company received in May, 2011 showed that the company was incurring cash losses with declining market share and the long term investment may not fetch more than ` 20,000. Solution As it is stated in the question that financial statements for the year ended 31st March, 2011 are under preparation, the views have been given on the basis that the financial statements are yet to be completed and approved by the Board of Directors. Investments classified as long term investments should be carried in the financial statements at cost. However, provision for diminution shall be made to recognise a decline, other than temporary, in the value of the investments, such reduction being determined and made for each investment individually. Para 17 of AS 13 ‘Accounting for Investments’ states that indicators of the value of an investment are obtained by reference to its market value, the investee's assets and results and the expected cash flows from the investment. On these bases, the facts of the given case clearly suggest that the provision for diminution should be made to reduce the carrying amount of long term investment to ` 20,000 in the financial statements for the year ended 31st March, 2011. Illustration 6 Y Co. Ltd., used certain resources of X Co. Ltd. In return X Co. Ltd. received ` 10 lakhs and ` 15 lakhs as interest and royalties respective from Y Co. Ltd. during the year 2009-10. You are required to state whether and on what basis these revenues can be recognised by X Co. Ltd. Solution As per para 13 of AS 9 on Revenue Recognition, revenue arising from the use by others of enterprise resources yielding interest and royalties should only be recognised when no significant uncertainty as to measurability or collectability exists. These revenues are recognised on the following bases: 1.77 © The Institute of Chartered Accountants of India Accounting (i) Interest: on a time proportion basis taking into account the amount outstanding and the rate applicable. (ii) Royalties: on an accrual basis in accordance with the terms of the relevant agreement. Illustration 7 On 1st December, 2010, Vishwakarma Construction Co. Ltd. undertook a contract to construct a building for ` 85 lakhs. On 31st March, 2011 the company found that it had already spent ` 64,99,000 on the construction. Prudent estimate of additional cost for completion was ` 32,01,000. What amount should be charged to revenue in the final accounts for the year ended 31st March, 2011 as per provisions of Accounting Standard 7 (Revised)? Solution (a) ` Cost incurred till 31st March, 2011 64,99,000 Prudent estimate of additional cost for completion 32,01,000 Total cost of construction 97,00,000 Less: Contract price 85,00,000 Total foreseeable loss 12,00,000 According to para 35 of AS 7 (Revised 2002), the amount of ` 12,00,000 is required to be recognized as an expense. Rs. 64,99,000 × 100 Contract work in progress = = 67% 97,00,000 Proportion of total contract value recognized as turnover as per para 21 of AS 7 (Revised) on Construction Contracts. = 67% of ` 85,00,000 = ` 56,95,000. 1.78 © The Institute of Chartered Accountants of India
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