CITY OF STOCKTON INTERNAL AUDIT STATUS REPORT 9-30-2024
September 30, 2024
To: City of Stockton Audit Committee
From: Moss Adams LLP
Subject: Internal Audit Status Report September 1 through September 30, 2024 _____
PERFORMANCE
IMPROVEMENT
PROJECTS
AUDIT FINDINGS
VALIDATION &
REPORTING
POLICY SUPPORT
BUSINESS CONTINUITY
& DISASTER
RECOVERY
ASSESSMENT
GRANTS MANAGEMENT
RISK ASSESSMENT AND
IMPLEMENTATION
ROADMAP
HR ORGANIZATIONAL
ASSESSMENT UPDATE
Schedule July 2024-June 2025 July 2024-June 2025 January-June 2024 September 2024-June 2025 October-December 2024 Budget Status:
Total Budget and
% Expended
$20,000
0%
$25,000
2%
$40,000 (FY23-24
carryover)
62%
$50,000
1%
$35.000
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
Collected outstanding BIA
templates from remaining
departments. Held kickoff/planning call Kick off Coordination Activities for Next
Period
Continue to validate
findings resolution
Continue to provide
review and analytical
support to update
policies and procedures
None
Fieldwork phase of project
begins
Conduct Kick off project,
request documents, and
initiate fieldwork
Issues None None None None None
Attachment A
2 | PAGE
INTERNAL AUDIT PROJECTS
SUBRECIPIENT
MONITORING
HUD FINDINGS SUPPORT COUNCIL
DISCRETIONARY FUNDS
REVIEW
Schedule December 2022 through
December 2024
August 2024 through March
2025
August 2024 through
December 2024
Budget Status: Total Budget and % Expended $100,000 (FY22-24 carryover) 85%
$30,000
6%
$30,000
2%
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.
Kicked off project.
Activities for Next Period Ongoing subrecipient
monitoring
Work with Economic
Development to implement
corrective actions.
Perform fieldwork and
analysis phase of project
Issues None None None
BASIC INTERNAL
AUDITOR
SERVICES
ONGOING
INTERNAL AUDIT
SERVICES
ETHICS HOTLINE STATISTICS
Schedule
July 2024 through
June 2025
Complaint
Type
Complaints
Received This
Period
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