CITY OF STOCKTON INTERNAL AUDIT STATUS REPORT 9-3-2024
September 3, 2024
To: City of Stockton Audit Committee
From: Moss Adams LLP
Subject: Internal Audit Status Report July 1 through September 3, 2024 _____
PERFORMANCE
IMPROVEMENT
PROJECTS
AUDIT FINDINGS
VALIDATION & REPORTING POLICY SUPPORT
HOTEL/MOTEL ORDINANCE
BENCHMARKING
BUSINESS CONTINUITY &
DISASTER RECOVERY
ASSESSMENT
Schedule July 2023-June 2024 July 2023-June 2024 January-June 2024 January-June 2024 Budget Status:
Total Budget and
% Expended
$20,000
100%
$25,000
100%
$30,000
100%
$40,000
57%
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
Revised draft report
Coordinated with departments
to complete and collect
Business Impact Analysis
(BIAs).
Activities for Next
Period
Continue to validate findings
resolution
Continue to provide review and
analytical support to update
policies
Finalize report
Continue to support completion
of BIA exercise for remaining 2
divisions.
Issues None None None
Schedule delays related to
departmental follow-up data
requests.
Attachment A
2 | PAGE
PERFORMANCE
IMPROVEMENT PROJECTS
(CONT.)
HR ORGANIZATIONAL
ASSESSMENT UPDATE
GRANTS MANAGEMENT RISK
ASSESSMENT AND
IMPLEMENTATION ROADMAP
Schedule September-December 2024 September 2024-June 2025 Budget Status: Total Budget and
% Expended
$35.000
1%
$50,000
1%
Activities for This Period None None
Activities for Next Period Kick off project and initiate fieldwork Kick off project and initiate fieldwork Issues None None
Attachment A
3 | PAGE
INTERNAL AUDIT PROJECTS
SUBRECIPIENT
MONITORING
HUD FINDINGS SUPPORT
Schedule December 2022 through
December 2024
August 2024 through March
2025
Budget Status: Total Budget and % Expended $100,000 (FY22-24 carryover) 71%
$30,000
5%
Activities for This Period
Monitoring for all HOME
funded projects in progress.
City assisting with non-
responsive recipients.
Kicked off project and worked
on responses to corrective
action plan to HUD.
Activities for Next Period Ongoing subrecipient
monitoring
Work with Economic
Development to implement
corrective actions.
Issues None None
BASIC INTERNAL
AUDITOR
SERVICES
ONGOING
INTERNAL AUDIT
SERVICES
ETHICS HOTLINE STATISTICS
Schedule
July 2024 through
June 2025
Complaint
Type
Complaints
Received During The
Year
Under Review Referred to
Appropriate City
Official(s)
Closed
Budget Status: Total
Budget and %
Expended
$40,000
17%
Compliance
& Ethics
5 3 5 2
Fraud 0 0 0 0
Employment
Matters
1 1 1 0
Attachment A