Finding 1179004 (2024-009)

Material Weakness Repeat Finding
Requirement
N
Questioned Costs
-
Year
2024
Accepted
2026-03-11
Audit: 391415
Organization: City of Stockton (CA)

AI Summary

  • Core Issue: The City has not conducted required housing inspections for the HOME Investment Partnerships Program since 2019 due to staff shortages.
  • Impacted Requirements: Compliance with federal property standards is at risk, violating regulations that mandate inspections based on unit count.
  • Recommended Follow-Up: The City should enhance staffing for inspections, create a monitoring schedule, and document all inspections; consider temporary support if staffing issues continue.

Finding Text

2024-009 – Special Tests and Provisions – Internal Control and Compliance over Housing Quality Standards Assistance Listing Number: 14.239 Assistance Listing Title: HOME Investment Partnerships Program Federal Agency: U.S. Department of Housing and Urban Development Pass-Through Entity: N/A Federal Award Identification Number: M-17-MC-06-0221, M-21-MC-06-0221, M-22-MC-06-0221, M-21- MP-06-0221 Criteria or Specific Requirement (Including Statutory, Regulatory, or Other Citation): Pursuant to 24 CFR 92.209(i), 92.251(f), and 92.504(d), the participating jurisdiction must perform on-site inspections to determine compliance with property standards and verify the information submitted by the owners no less than (a) every three years for projects containing one to four units, (b) every two years for projects containing five to 25 units, and (c) every year for projects containing 26 or more units. The participating jurisdiction must perform on-site inspections of rental housing occupied by tenants receiving HOME/HOMEARP- assisted tenant-based rental assistance to determine compliance with housing quality standards. Condition: During our audit, we noted that the City has not performed any housing inspections required under the HOME Investment Partnerships Program since 2019, citing staff shortages as the reason for nonperformance. Cause: The City did not perform housing inspections due to staffing issues and lack of adequate resources allocated to the compliance function. Effect or Potential Effect: Failure to conduct required housing inspections increases the risk that HOME-assisted units do not meet federal property standards, potentially resulting in noncompliance with program requirements and exposure to questioned costs or repayment obligations. Questioned Costs: None. Context: See condition above for the context of the finding. Identification as a Repeat Finding, If Applicable: Not applicable. Recommendation: The City should implement procedures to ensure timely housing inspections in accordance with HOME Program requirements. This includes allocating sufficient staff resources, establishing a monitoring schedule, and documenting all inspections performed. If staffing limitations persist, the City should consider temporary contracting or interdepartmental support to meet compliance obligations. Views of Responsible Officials: Management concurs with the finding.

Corrective Action Plan

2024-009–Special Tests and Provisions – Internal Control and Compliance over Housing Quality Standards City’s Corrective Action Plan: HOME on-site monitoring requires dedicated staffing capacity. The Housing Division has developed clear policies and procedures for HOME on-site monitoring; however, implementation has been constrained by limited staffing resources. The Department has requested additional staff in the most recent budget development cycles to support these requirements but has not been successful. The Department is evaluating alternative solutions, including the potential use of third-party consultants, to support implementation of HOME on-site monitoring requirements. Responsible Person: Director of Economic Development, and Housing Manager Expected Implementation FY 2026

Categories

Subrecipient Monitoring Special Tests & Provisions

Other Findings in this Audit

  • 1178985 2024-004
    Material Weakness Repeat
  • 1178986 2024-004
    Material Weakness Repeat
  • 1178987 2024-004
    Material Weakness Repeat
  • 1178988 2024-004
    Material Weakness Repeat
  • 1178989 2024-004
    Material Weakness Repeat
  • 1178990 2024-004
    Material Weakness Repeat
  • 1178991 2024-004
    Material Weakness Repeat
  • 1178992 2024-005
    Material Weakness Repeat
  • 1178993 2024-005
    Material Weakness Repeat
  • 1178994 2024-005
    Material Weakness Repeat
  • 1178995 2024-006
    Material Weakness Repeat
  • 1178996 2024-006
    Material Weakness Repeat
  • 1178997 2024-006
    Material Weakness Repeat
  • 1178998 2024-007
    Material Weakness Repeat
  • 1178999 2024-008
    Material Weakness Repeat
  • 1179000 2024-008
    Material Weakness Repeat
  • 1179001 2024-009
    Material Weakness Repeat
  • 1179002 2024-009
    Material Weakness Repeat
  • 1179003 2024-009
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
66.958 WATER INFRASTRUCTURE FINANCE AND INNOVATION (WIFIA) $108.00M
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $1.96M
97.044 ASSISTANCE TO FIREFIGHTERS GRANT $1.18M
14.239 HOME INVESTMENT PARTNERSHIPS PROGRAM $713,183
16.738 LOCAL LAW ENFORCEMENT CGIC INTEGRATION INITIATIVE $372,347
14.218 COMMUNITY DEVELOPMENT BLOCK GRANTS/ENTITLEMENT GRANTS $317,215
97.083 STAFFING FOR ADEQUATE FIRE AND EMERGENCY RESPONSE (SAFER) $295,212
16.753 CONGRESSIONALLY RECOMMENDED AWARDS $262,461
16.738 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT PROGRAM $255,412
20.608 MINIMUM PENALTIES FOR REPEAT OFFENDERS FOR DRIVING WHILE INTOXICATED $156,475
20.600 STATE AND COMMUNITY HIGHWAY SAFETY $116,061
14.231 EMERGENCY SOLUTIONS GRANT PROGRAM $85,353
66.818 BROWNFIELDS MULTIPURPOSE, ASSESSMENT, REVOLVING LOAN FUND, AND CLEANUP COOPERATIVE AGREEMENTS $71,740
21.023 EMERGENCY RENTAL ASSISTANCE PROGRAM $49,858
20.205 HIGHWAY PLANNING AND CONSTRUCTION $12,459
59.059 CONGRESSIONAL EARMARKS INITIATIVE $7,353