CITY OF STOCKTON INTERNAL AUDIT STATUS REPORT 11-6-23
November 6, 2023
To: City of Stockton Audit Committee
From: Moss Adams LLP
Subject: Internal Audit Status Report October 9 through November 6, 2023 _____
PERFORMANCE
IMPROVEMENT
PROJECTS
AUDIT FINDINGS VALIDATION
& REPORTING POLICY SUPPORT CAPITAL PROGRAM PROCESS
IMPROVEMENT
BUSINESS CONTINUITY &
DISASTER RE COVERY
ASSESSMENT
Schedule July 2023 through June 2024 July 2023 through June 2024 TBD; see below January-April 2024 Budget Status: Total
Budget and %
Expended
$20,000
55%
$25,000
21%
$30,000
0%
$40,000
1%
Activities for This
Period
Coordinated with City staff on
policies and procedures related to
audit findings
Coordinated City efforts to update
and approve priority policies
and procedures
Initiated project.
Held scoping meeting with key City
stakeholders.
Activities for Next
Period
Continue to validate findings
resolution
Continue to provide review and
analytical support to update
policies
Pending Public Works
organizational assessment timing.
Kickoff meeting and initial
fieldwork.
Issues None None None None
Attachment A
2 | PAGE
INTERNAL AUDIT
PROJECTS
CITYWIDE INTERNAL CONTROLS
REVIEW PARKING CONTRACT AUDIT SUBRECIPIENT MONITORING
Schedule April through December 2023 June through December 2023 December 2022 through June 2024 Budget Status: Total
Budget and % Expended
$38,850 (FY22-23 carryover)
45%
$32,232.50 (FY22-23 carryover)
12%
$77,040 (FY22-23 carryover)
11%
Activities for This Period Conducted fieldwork. Conducted fieldwork. Assisted in policy and procedure update, developed testing plan.
Activities for Next Period Develop preliminary findings, conduct analysis, and develop draft report.
Continue fieldwork, develop preliminary findings,
conduct analysis, and develop draft report. Ongoing subrecipient monitoring Issues None None None
BASIC
INTERNAL
AUDITOR
SERVICES
ONGOING
INTERNAL AUDIT
SERVICES
ETHICS
HOTLINE
STATISTICS
Schedule July 2023 through June
2024
Complaint
Type
Complaints
Received
This Period
Under
Review
Referred to
Appropriate
City Official(s)
Closed
Budget Status:
Total Budget and
% Expended
$30,000
30%
Compliance
& Ethics
8 6 8 2
Fraud 0 0 0 0
Employment
Matters
0 0 0 0
Attachment A