Loading...
HomeMy WebLinkAboutStaff Report 2511-5421CITY OF PALO ALTO CITY COUNCIL Monday, December 08, 2025 Council Chambers & Hybrid 5:30 PM     Agenda Item     14.Recommend City Council Approval of the CSD Equipment & Materials Inventory Management and Building Permit & Inspection Fees Audits as recommended by the Policy & Services Committee and Extension of the Deadline for several FY2025 Task Orders 8 5 6 7 City Council Staff Report From: City Manager Report Type: CONSENT CALENDAR Lead Department: City Auditor Meeting Date: December 8, 2025 Report #:2511-5421 TITLE Recommend City Council Approval of the CSD Equipment & Materials Inventory Management and Building Permit & Inspection Fees Audits as recommended by the Policy & Services Committee and Extension of the Deadline for several FY2025 Task Orders RECOMMENDATION The Policy & Services Committee and the Office of the City Auditor recommend City Council approve the results of two audits: 1. Community Services Department Equipment & Materials Inventory Management Audit (Attachment A, P&S Committee recommended approval on October 29, 2025), and 2. Building Permit and Inspection Fees Audit (Attachment B, P&S Committee recommended approval on November 19, 2025) The City Auditor’s Office also seeks City Council approval to extend the deadlines for several FY2025 Task Orders through April 30, 2026 with a net zero impact, including: 1. Task 4.31: Junior Museum & Zoo 2. Task 4.33: Public Safety Staffing & Overtime 3. Task 4.34: Follow-Up Audit Activities BACKGROUND Baker Tilly Advisory, in its capacity serving as the Office of the City Auditor (OCA), performed a citywide risk assessment that evaluated a wide range of risk areas, including strategic, financial, operational, compliance, technological, and reputational risks. The purpose of the assessment was to identify and prioritize risks to develop the annual audit plan. During the FY2024 risk assessment, the OCA identified inventory management practices at CSD facilities and building permit and inspection fees assessed via the City’s Development Services 8 5 6 7 Center as potential areas of risk and these audit topics were included in the FY2025 Annual Audit Plan approved by Council. ANALYSIS 8 5 6 7 Building Permit & Inspection Fees Audit Determine if the City’s building permit and inspection fees are accurately and consistently applied. Evaluate the administration of the Development Services Program for adequate internal controls to safeguard the City from fraud, waste, and abuse. Overall, fee assessments for most major fees were accurately assessed, but some smaller fees were not applied consistently across all transactions. OCA recommends the city evaluate any areas identified by the audit where fees were inappropriately charged to customers and resolve any issues. In addition, OCA recommends the City: o reinstate periodic internal audits of the building permit function to ensure fees are consistently applied and training needs are identified and remediated, o explore the feasibility of simplifying fees and making improvements to the City’s permitting platform to facilitate consistent and more efficient application of fees, o evaluate current training process and consider updating and/or reimplementing the onboarding and training program for new employees, and o ensure staff retain all documentation related to financial processing transactions for greater transparency and accountability. 8 5 6 7 Task Order Deadline Extension FISCAL/RESOURCE IMPACT STAKEHOLDER ENGAGEMENT ENVIRONMENTAL REVIEW ATTACHMENTS APPROVED BY: August 21, 2025 City of Palo Alto Office of the City Auditor Community Services Department (CSD) Equipment and Materials Inventory Management Audit Contents Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, operate under an alternative practice structure and are members of the global network of Baker Tilly International Ltd., the members of which are separate and independent legal entities. Baker Tilly US, LLP is a licensed CPA firm that provides assurance services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and consulting services to their clients and are not licensed CPA firms. Executive Summary ............................................................................................................................ 1 Introduction ........................................................................................................................................ 3 Detailed Analysis ................................................................................................................................. 5 Audit Results ....................................................................................................................................... 7 Executive Summary Purpose of the Audit Baker Tilly Advisory Group, LP (Baker Tilly), in its capacity serving as the Office of the City Auditor (OCA) for the City of Palo Alto (the City), conducted an Equipment and Materials Inventory Management Audit based on approved Task Order 4.32 as part of the City’s FY25 Audit Plan. The objective of this audit was to determine if the Community Services Department Equipment and Materials Inventory Management system is operating effectively and efficiently. Report Highlights (Page 7) While most tested items were accounted for, management of materials and equipment at CSD facilities needs improvement. OCA was able to locate almost all items selected for inventory testing. However, CSD lacks a comprehensive, regularly updated inventory list, which may increase the risk of fraud, waste, and abuse, as it becomes harder to confirm purchases and ensure items remain in use. Through the course of testing, OCA also noted that the City’s process for disposing of goods was not followed in some instances. Adhering to disposal procedures ensures accountability, prevents unauthorized removal of City property, addresses security concerns such as properly wiping electronics, and protects against fraud, waste, abuse, and reputational harm. OCA’s testing and staff interviews identified issues that could be addressed through improved inventorying, organization, and inter-facility sharing of materials and equipment. While certain facilities had organized storage systems with labels and locked cabinets, others lacked clear labeling and designated storage spaces. Additionally, materials and equipment are not currently shared between facilities, though staff suggested that a shared-drive inventory could allow borrowing of seldom-used, high-cost items, potentially minimizing unnecessary purchases and generating cost savings. Finally, OCA observed that some items at various locations were not properly stored or secured, creating potential risks of theft, damage, or premature wear. Key Recommendations We recommend management implement a centralized inventory management system to track and update assets regularly and consistently across all facilities. Establishing a standard operating procedure (SOP) for conducting periodic inventory audits, such as quarterly or annually, will ensure that inventory records remain accurate. Designating staff members responsible for inventory tracking and providing them with training on best practices will improve accountability and ensure that City policies related to the procurement and disposal of City materials and equipment are followed. Additionally, adopting a digital system for real-time updates can enhance efficiency and transparency. EXECUTIVE SUMMARY Finding 2: (Page 10) and equipment which can help prevent fraud, waste, and abuse. Best practices recommend that when entities procure goods, the individual who orders the item is not the same individual that approves the purchase of the item. The City has clear guidelines through its Purchasing Card Guidebook that addresses this issue and ensures that items purchased go through a clear approval process. However, it does not appear that the City has formal guidance on how goods should be received and inventoried. Similar to the segregating of activities above, the person ordering an item should not be the same person to receive and inventory the item as it presents an opportunity for fraud to occur. According to the City’s Municipal Code, 2.08.075, care of city-owned property, each department director is responsible for safeguarding their department’s equipment and materials. As each CSD facility is not maintaining a current and/or comprehensive list of materials, there are also no procedures in place to ensure segregation of duties when receiving and inventorying items. While the City has guidance related to purchasing items and the municipal code has provisions for the City to donate obsolete and surplus items to nonprofits, there does not appear to be comprehensive guidance related to the receipt and inventorying of City items. Such policies and procedures (P&P) help ensure that appropriate controls are in place to prevent fraud, waste and abuse and ensure that items are effectively and efficiently stored and managed. Key Recommendations We recommend that the City establish clear guidelines for the receipt and inventory of goods and equipment to ensure accountability, accuracy and efficiency in managing physical assets. Additional Observation: (Page 11) The current practice of using the City’s Capital Improvement Process (CIP) to replace equipment is burdensome. The current process for replacing equipment at CSD is to go through the City’s Capital Improvement Process (CIP). This process can take months. Several staff at CSD noted that each time a substantial piece of equipment fails, they are often without use of that item for an extended period of time due to having to go through the City’s CIP process. Staff stated that it would be helpful if the Department had funds that could be applied for such purchases. Introduction Objective The objective of this audit was to determine if the CSD Equipment and Materials Inventory Management system is operating effectively and efficiently. residents through a wide array of programs, services, and facilities. Established to foster community engagement and well-being, the department oversees numerous urban and neighborhood parks, recreational facilities, and cultural institutions. Among its notable offerings are the Palo Alto Junior Museum & Zoo, the Palo Alto Art Center, and the Children's Theatre, which collectively serve thousands of community members annually. Historically, the CSD has been instrumental in shaping Palo Alto's community landscape. The department's roots can be traced back to the early development of the City, with significant growth over the decades leading to the establishment of many of the parks and recreational facilities that residents enjoy today. Over the years, the CSD has continually evolved to meet the changing needs of the community, emphasizing sustainability, inclusivity, and innovation in its programs and services. According to the 2024 Palo Alto Community Survey, approximately 95% of residents surveyed have visited a neighborhood park or City Park in the past year, and 50% have used Palo Alto recreation centers or their services. The department's efforts to engage residents of all ages and backgrounds have resulted in high levels of satisfaction, with 91% of survey respondents rating the quality of Open Spaces as excellent or good and 81% rating the quality records from July 2023 through February 2025 and selected inventory items to verify their existence, confirm they could be located, and assess their procedures: • Interviewed the appropriate individuals to gain an understanding of the organizational structure, processes, and controls related to equipment and materials inventory management. • Analyzed P&P to identify the criteria to be used for evaluation of control design and effectiveness. • Judgmentally selected a sample of recent P-Card purchases over $500 within the CSD as well as selecting items on the inventory INTRODUCTION 1 Recreation includes the following locations: Lucie Stern Community Center (Lucie Stern), Mitchell Park Community Center (MPCC), and Cubberley Community Center (Cubberley) 2 Open Space Parks & Golf include the following locations: Municipal Service Center (MSC), Baylands Nature Preserve (Baylands), and Foothills Nature Preserve (FHP) 3 Government auditing standards require an external peer review at least once every three (3) years. The last peer review of the Palo Alto Office of the City Auditor was conducted in 2017. The Palo Alto City Council approved a contract with Baker Tilly U.S, LLP for internal audit services for October 2020 through June 2022 with an extension through June 2025. City Council appointed Kate Murdock, Audit Manager in Baker Tilly’s Risk Advisory practice, as City Auditor in May 2024. As a result of transitions in the Audit Office and peer review delays due to the COVID pandemic, an external peer review is targeted for 2025. It should be noted that Baker Tilly’s most recent firmwide peer review was completed in November 2024 with a rating of “Pass”. The scope of that peer review includes projects completed under government auditing standards. Space Parks & Golf 2 during the audit period, July 1, 2023 through February 5, 2025, to determine whether inventory exists, can be located, and is in good condition as well as observe inventory systems and storage practices in place. • The OCA selected a minimum of 15 items per location from either recent P-Card purchases or inventory listings and performed onsite inspections at the above-mentioned locations to confirm the item’s existence and condition. • Completed audit report of findings, conclusions, and recommendations based on the supporting evidence gathered. Statement This audit activity was conducted from January 2025 to August 2025 in accordance with generally accepted government auditing standards, except for the requirement of an external peer review 3. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings, observations, and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings, observations, and conclusions based on our audit objectives. Strengths During this audit activity, we noted the professionalism and responsiveness of CSD management and staff. We appreciate CSD’s participation in interviews, providing tours of City facilities and inventory documentation, as well as responding to follow-up requests. The OCA greatly appreciates the support of CSD in conducting this audit activity. Thank you! Detailed Analysis Inventory Management Best Practices This audit evaluated the CSD Equipment and Materials Inventory processes against recognized best practices. Reputable sources such as the Institute of Internal Auditors (IIA), Government Finance Officers Association (GFOA), and Government Accountability Office (GAO) emphasize strong internal controls, accurate record-keeping, and efficient processes for managing public sector inventories. Key best practices include: Comprehensive Policies and Recordkeeping • Establish and regularly update written inventory management policies and procedures. • Create clear guidelines for purchasing, usage, and disposal of assets to ensure consistency and support employee training. • Track all equipment and materials in an official inventory system or register. • Require each department maintain and periodically certify the completeness of its asset list. • Keep detailed inventory records (e.g., item descriptions, serial numbers, location, purchase date, condition) to ensure transparency and safeguard assets. Regular Physical Counts and Reconciliation • Conduct periodic physical inventories to verify recorded balances match actual quantities. • Adopt best practice of performing a complete count at least annually by staff independent from daily custody of items. • Promptly reconcile discrepancies between physical counts and inventory records. • Research and resolve differences to correct records and identify root causes for corrective action. • Maintain a cycle of counting and reconciliation to ensure inventory data accuracy and reliability. Segregation of Duties and Security Controls • Segregate key inventory tasks so no single person handles ordering, receiving/issuing, and record-keeping. (e.g., one inputs purchase orders, another logs received items, a third conducts physical counts). • In smaller organizations, apply mitigating controls such as supervisory review or dual-count teams. • Maintain secure storage and access controls for inventory, especially valuable or easily stolen items. • Store sensitive items in locked rooms or cabinets with limited key/card access. • Require sign-outs or manager approval before removing items. DETAILED ANALYSIS • Label all equipment with asset tags or identifiers to deter theft and ensure accountability. Clear Accountability and Management Oversight • Assign specific responsibility for inventory control within each department. • Have departments take ownership of “controlled capital-type items,” with designated individuals accountable for safeguarding and tracking assets. • Appoint an inventory custodian in each department to maintain records and coordinate counts. • Require custodians to report inventory status periodically to management. • Ensure management actively oversees inventory by reviewing audit results, approving significant adjustments/write-offs, and monitoring key metrics. • Maintain a clear “paper trail” documenting purchases, transfers, counts, and disposals for management or auditor review. • Reinforce inventory as a priority through consistent oversight and tone at the top, holding staff accountable for following procedures. Training Personnel and Continuous Improvement • Train all employees involved in inventory tasks on policies, procedures, and inventory systems. • Promote regular training to reduce errors and promote consistent practices across the organization. • Ensure counters and custodians are knowledgeable about items and counting processes to improve accuracy. • Foster a culture of continuous improvement by periodically reviewing and updating inventory control procedures. • Analyze discrepancies or theft incidents for lessons learned and corrective actions. • Gather employee feedback to identify process pain points and improvement opportunities. • Stay informed on industry best practices to adapt and strengthen inventory management over time. AUDIT RESULTS Audit Results Finding 1: While most tested items were accounted for, management of materials and equipment at CSD facilities needs improvement. As mentioned in the previous section of this report, CSD has several facilities that provide a wide array of services to Palo Alto’s population. In turn, various types of equipment, materials and supplies are needed and stored by CSD in the provision of these services. While OCA was able to locate most items selected for testing, we identified several areas of concern. These issues do not apply to each CSD facility but across the department’s facilities we noted the following: a lack of comprehensive and regularly updated inventories, a lack of documentation for disposed items, a general lack of organization, and few areas where equipment is not properly stored and/or secured. CSD does not maintain comprehensive or regularly updated inventory lists. CSD was unable to provide OCA with an up-to-date, comprehensive list of items for each facility. Each facility had varying types of lists and degrees of items inventoried. • Art Center – The Art Center had various inventories for different spaces and items but several of these were outdated or not dated. For example, the “Equipment Inventory” list was last updated in 2019 and the “Equipment Log” had no date but listed estimated replacement dates for items. While these two documents appeared to have some of the same items, one was in a word document and the other in excel. A “Pedestal Inventory” had not been updated since 2013. • Children’s Theatre – The Children’s Theatre had several inventory lists, but they had not been updated since 2014. • Cubberley Theatre – The theatre has a “Theatre Technician Equipment” list but it appeared this list had not been updated since 2022 with one item entered that year making it difficult to determine if the list was accurate or complete. • Junior Museum & Zoo (JMZ) – The JMZ had an updated list of animals and various undated materials and dry goods lists. They did not appear to have inventory lists for equipment used in their workshop or of veterinary supplies. • Parks & Open Space -The Parks & Open Space division appears to have updated inventory listings of vehicles. However, their tool and equipment lists were undated making it difficult to determine if they were accurate or complete. • Recreation – It did not appear that the Recreation division has an inventory tracking system for their equipment and materials. OCA used a combination of the documentation listed above, as well as P- card statements from July 2023 through February 2025 to take a sample of inventory items to check for the item’s presence, condition and appropriate use. OCA was able to locate all items selected for testing, except for a few AUDIT RESULTS 4 The Art Center management staff specified that they have third-party insurance for artwork and art installations displayed in City facilities. comprehensive and regularly updated list can present several risks to the organization including fraud, waste, and abuse. Without a comprehensive and regularly updated list of equipment, materials and supplies, it is difficult to determine what has been purchased and if those items are present. This creates conditions where it is much easier for fraud to occur. We noted that the City does not have insurance for inventoried materials or equipment as the City is self-insured.4 Another purpose of having a comprehensive and regularly updated inventory of materials and equipment is in case of theft or damage. Without a comprehensive list of items, it might be difficult to establish and/or identify when items have gone missing or been stolen. Should there be flooding or fire damage, an inventory can also help with replacing items and help to minimize any time that might be lost trying to create a list after an emergency. The City’s process for disposing of goods was not followed in some instances. The City has a Surplus Property Disposal and Destruction Policy and Procedure which provides guidelines for the sale and disposal of items with and without commercial value. For items determined to have no commercial value, the department is “expected to make surplus property available to other departments for City use by posting the item on the City’s Intranet”. If the item generates no interest, is broken or unusable, the department is responsible for completing a Surplus Property Disposal Form. This form is supposed to be signed by the department head and then forwarded to the Administrative Services Department (ASD) Warehouse Supervisor. ASD then notifies the Department if the form has been approved and the resulting action – disposal, donation, or inclusion in the City’s warehouse. OCA sampled a list of materials and equipment for inventory and found a few items were not present at the Art Center. While staff were able to provide an explanation for the absence of these items, they were not able to provide supporting documentation in each case nor was it clear if the City’s process had been followed for some items. For example, there were 15 iPads that staff determined were obsolete and past their useful life. Staff stated that these items were sent to the City’s stores but were not able to provide documentation to support this occurred. In addition, OCA found a kiln and one polishing machine were missing. Staff stated these items were disposed of as they were no longer working properly. It did not appear that staff had filled out the required forms for disposing of these items and could not provide documentation to support the items had been approved for disposal. AUDIT RESULTS Following established processes for disposing of aging or obsolete items helps streamline decision-making and provides clear criteria for how and when to redistribute an item to another department, donate it to a non- profit, or dispose of it and helps ensure items do not go home with City employees which is prohibited by the City’s policy. In addition, any items disposed of should be considered for possible data security issues. For example, when disposing of electronic items, they should be properly wiped of any sensitive information. Following established City P&P not only protect against fraud, waste and abuse but help protect the City’s reputation as well. Items could be better organized to facilitate shared and easier use. Through the course of our testing and interviews with staff OCA found a few issues that may be at resolved by better inventorying and organizing of materials and equipment. In addition, staff stated it would be helpful to have inventories from the different facilities on a shared drive to facilitate the sharing of equipment and materials. One issue we noted was the significant amount of time it took for staff to locate some items and in a couple of instances staff could not locate the item until after our site visit. While some CSD facilities had organizational systems in place such as specific storage spaces for items, locked cabinets and labels showing where certain items should be stored, other facilities lacked clear labels and storage spaces. We also noted two instances where sampled equipment items were still in original packaging and had not been used. In both instances these items had been purchased more than six months earlier. While of relatively low dollar amount, it was unclear why this equipment was not in use and if it might be the result of ordering an item and then realizing there was already useable equipment on site. OCA also noted that it does not appear materials and equipment are shared between facilities, which could be beneficial. Staff stated that if each facility had an inventory list on a shared drive where staff could search for a needed item to see if it could be borrowed from a neighboring facility would be helpful. While sharing equipment and materials may not make sense in many cases due to heavy/regular use at the primary facility, for larger and more expensive equipment that is only needed sporadically or one-time, having a shared inventory could provide greater flexibility and may result in cost savings. Some items were not properly stored or secured. OCA noted that some items at various locations were not properly stored or secured. For example, at the Children’s Theatre wooden sets are stored in an open, outdoor shed in the alley behind the building. OCA noted that this area was not secure and there was nothing to prevent theft or damage of the sets. However, the cost of securing these items may be more than they are worth and it may not make sense for the City to invest in a security system for these items. At the JMZ, OCA noted that an electronic AUDIT RESULTS tarp, keeping this item indoors may prolong its life. At the Baylands Ranger Station, OCA noted that there was lawn equipment with rust present as it was unprotected from the elements. • Implementing a centralized inventory management system to track and update assets regularly and consistently across all facilities. A centralized system could be as simple as a shared excel file with product and location information as well as sign in and sign out capabilities for items shared across facilities. More sophisticated digital systems can provide real-time updates and map items to specific a location but the cost of such a system may be prohibitive and unnecessary. • Establishing a standard operating procedure (SOP) for conducting periodic inventory audits, such as quarterly or annually, which will ensure that inventory records remain accurate. • Designating specific staff members responsible for inventory monitoring and providing them with training on best practices will improve accountability and ensure that City policies related to the procurement and disposal of City materials and equipment are followed. Response Concurrence: Agree Target Date: March 31, 2026 Corrective Action Plan: CSD will develop an inventory management system and related standard operating procedure for conducting periodic inventory audits. CSD will establish criteria on the types of equipment and materials that should be included in the inventory management system. This could be based on items of a certain value or type (e.g., electronics and tools). CSD anticipates using a simple format as the department does not have funds budgeted to develop a complex system with mapping tools. For parks and open-space related equipment, CSD will explore the possibility of combining with another department’s inventory management system. AUDIT RESULTS 5 2.08.075 Care of city-owned property. CSD lacks formal processes for receiving and inventorying materials and equipment which can help prevent fraud, waste and abuse. Best practices recommend that when entities procure goods, the individual who orders the item is not the same individual that approves purchase of the item. The City has clear guidelines through its Purchasing Card Guidebook that addresses this issue and ensures that items purchased go through a clear approval process. However, it does not appear that the City has formal guidance on how goods should be received and inventoried. Similar to the segregating of activities above, the person ordering an item should not be the same person to receive and inventory the item as it presents an opportunity for fraud to occur. The City’s Municipal Code, 2.08.075 5, care of city-owned property, states: Each department head and council-appointed officer shall be responsible for care and safekeeping of all city-owned property used by or in the custody of the department and shall take steps as necessary to ensure that the use or condition of said property does not incur legal liability or loss for the city or its officers and employees. Items included in the definition of property, per the code, include equipment, tools, supply, and furniture. The code does not provide any additional guidance on how city property should be received or stored. As each CSD facility is not maintaining a current and/or comprehensive list of materials, there are also no procedures in place to ensure segregation of duties when receiving items. While the City has guidance related to purchasing items and, as mentioned in Finding 1, the municipal code has provisions for the City to donate obsolete and surplus items to nonprofits, there does not appear to be comprehensive guidance related to the receipt and inventorying of City items. With multiple facilities and a wide array of materials and equipment in use at each facility, segregating the responsibilities for ordering, receiving, and inventorying materials and goods may prove overly burdensome. Many organizations establish a threshold for when items need to be inventoried and/or categories of goods that should be inventoried versus those that don’t. For example, CSD may determine that office supplies do not need to be inventoried as the cost of undertaking such an effort could exceed the value of the items in question. However, we noted in our observations that CSD appropriately tracks and inventories art supplies used in classes and sold to the public. Items that are often inventoried due to higher risk of theft include electronics and power tools. Once CSD determines which categories or items should be inventoried and/or a dollar threshold for items to inventory, certain responsibilities should be segregated. For example, segregating the responsibilities of ordering, receiving, and inventorying materials and goods helps ensure that appropriate controls are in place to prevent fraud, waste and abuse. Developing formal P&Ps related to these processes can also help to ensure items are effectively AUDIT RESULTS Recommendation We recommend that CSD establish clear guidelines for the receipt and inventory of goods and equipment to ensure accountability, accuracy and efficiency in managing physical assets. Such guidelines should delineate either the types of goods and equipment that should be inventoried or establish a threshold for when items should be monitored and inventoried. This policy should have clear instructions related to the following areas: • Receiving Goods – delivery should be verified against purchase order, packing slip or contract • Inventory Entry and Documentation – items should be logged with the date, a description, quantity and location with relevant warranty information if applicable • Storage and Security – defined procedures for how items should be stored and secured • Discrepancy Procedures – steps for reporting and resolving issues such as missing or damaged items • Periodic Reconciliation – regular inventory audit or counts to resolve discrepancies Response Concurrence: Agree Target Date: March 31, 2026 Corrective Action Plan: CSD will develop a policy for receiving and storing certain equipment and materials. The policy will establish criteria on the types of equipment and materials that should be included in the inventory management system. This could be based on items of certain value or type (e.g., electronics and tools). Additional Observation: The current practice of using the Capital Improvement Process (CIP) to replace equipment is burdensome. Capital Improvement Process (CIP). This process can take months. Several staff at CSD noted that each time a substantial piece of equipment fails, they are often without use of that item for an extended period of time due to having to go through the City’s CIP process. Staff stated that it would be helpful if the Department had funds that could be applied for such purchases. Based on discussions with management, with implementation of a comprehensive equipment inventory that includes estimated replacement timelines and costs, funding for replacement of equipment could be planned during the annual budget development process. During this process, the department can appropriate funding for routine equipment replacement and a reasonable amount of unanticipated replacement costs, as the City monetary/fund balance permits. Planning, foresight, and funding may contribute to more efficient replacement and fewer extended periods of November 5, 2025 City of Palo Alto Office of the City Auditor Building Permit and Inspection Fees Audit Contents Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, operate under an alternative practice structure and are members of the global network of Baker Tilly International Ltd., the members of which are separate and independent legal entities. Baker Tilly US, LLP is a licensed CPA firm that provides assurance services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and consulting services to their clients and are not licensed CPA firms. Executive Summary ............................................................................................................................ 1 Introduction ........................................................................................................................................ 4 Detailed Analysis ................................................................................................................................. 7 Audit Results ..................................................................................................................................... 10 Executive Summary Purpose of the Audit Baker Tilly Advisory Group, LP (Baker Tilly), in its capacity serving as the Office of the City Auditor (OCA) for the City of Palo Alto (the City), conducted a Building Permit and Inspection Fees Audit based on approved Task Order 4.30 as part of the City’s FY25 Audit Plan. The objectives of this audit were to: • Determine If the City’s building permit and inspection fees are accurately and consistently applied. • Evaluate the administration of the Development Services Program for adequate internal controls to safeguard the City from fraud, waste, and abuse. Report Highlights Finding 1: (Page 10) Overall, fee assessments for most major fees were accurately assessed, but some smaller fees were not applied consistently across all transactions. The City’s Planning and Development Services Department (PDS) provides building permit and inspection services for residential, commercial and mixed- use building projects. The City’s Municipal Fee Schedule establishes the annual fees that will be charged for these services. In FY23 and FY24, there were a total of 4,774 projects reviewed by the Development Services Center and 7,686 building permits issued. The Development Services Center collected approximately $15 million in revenue in FY23 and $17 million in FY24. OCA tested a sample of building permit types and inspection fees for accuracy and consistency. While most major fees were accurately assessed, OCA found several smaller fees were not consistently applied. In a few cases, fee errors resulted in overcharging customers, but most errors resulted in customers being undercharged. Building Permit Fees Out of 60 sampled projects, OCA identified two projects (3%) with inappropriately applied fees. One project was not charged a fire plan check fee resulting in this project not receiving a fire inspection. One project was not charged the New Single-Family fee resulting in $1,305.72 in lost revenue to the City. OCA found several different types of fees were not accurately assessed over the testing period. Some of these errors resulted in overcharging customers but most errors resulted in undercharging customers. SB 1473 – California Building Standards Administration Special Revolving Fund OCA identified that SB1473 fees were inappropriately assessed to demolition the projects were incorrectly assessed the fee. The fee ranged from $1 to $41 across the projects sampled. In total, OCA estimated potential overcharges of less than $1,300 over the course of FY23 and FY24. While this represents a small amount in overcharged fees, charging unauthorized fees can have financial, legal, operational and reputational consequences and the City should take steps to minimize such occurrences. Record Retention Fees The City’s fee schedule requires that all projects with plans pay a records retention fee. In FY23, the fee was $7.04 per plan sheet and in FY24 $7.88 per plan sheet. This fee helps cover the City’s costs in maintaining such records. Out of 60 sampled projects, OCA found that the City had not assessed record retention fees for 15 projects or 25% of sampled projects. For the 15 tested projects missing record retention fees, $184.41 in fees should have been assessed and collected but were not. This represents approximately $15,000 in uncollected record retention fees for FY23 and FY24 when applying this error rate to the entire population of permits. Reinspection Fees Built into the City’s fee structure is an initial and follow-up inspection. Reinspection fees are assessed beginning with the second failed inspection in order to cover the cost of the third inspection, with additional fees required for each subsequent failure. Only 84 re-inspection fees were charged in FY23 and FY24. In collaboration with PDS staff, OCA identified 164 permits during FY23 and FY24 out of 7,686 (approximately 2%) that might have missing re-inspection fees. OCA sampled 30 of the permits and found a total of 6 re-inspection fees that should have been charged but were not. Factors contributing to inconsistent fee assessment OCA identified three primary factors contributing to inconsistent fee assessment. First, OCA noted a general lack of internal controls and oversight of building permit and inspection assessments. Second, staff mentioned the complexity of the fee schedule and how the fees are organized in the City’s cloud-based building platform, Accela. Third, staff mentioned the lack of training available for new employees. Refunds All refunds evaluated were in alignment with the fee schedule, refunding 80% of the original fee amount unless there was a City error necessitating a full refund. However, out of the 10 refunds tested, 5 were missing finalized documentation showing that the refund was processed through accounting, a all final, accounting approved refund documents are included and saved in the appropriate records in Accela. 1. Evaluate any areas identified by the audit where fees were inappropriately charged to customers and resolve any issues. 2. Reinstate periodic internal audits of building permit and reinspection fees on either a monthly or quarterly basis. This should include: a. developing a documented quality control process with assigned responsibilities to ensure this activity is performed consistently moving forward, b. procedures for providing feedback, and if appropriate, additional training to staff when errors are identified, and c. ongoing tracking and monitoring of issues to identify patterns or trends that might require wider training or corrective actions for the department. 1. Explore the feasibility of simplifying fees and improving the Accela platform by: a. considering ways to simplify fee application processes and procedures including revisiting the fee structure itself and identifying opportunities to better communicate standards to customers, b. automating certain fees such as SB1743 as an internal control and to help streamline the assessment process, c. grouping fees by project type to ensure easier application by project coordinators, and d. configuring the software to allow coordinators to select multiple fees at one time. Performing an assessment to determine the time it takes for staff to individually select each permit versus being able to select them in one step might help to establish how much time could be saved by this enhancement and whether it is worth the investment. Such an assessment could also consider other fees for automation that are not specifically addressed through this audit. 3. We recommend the City evaluate the current training process and consider updating and/or reimplementing the onboarding and training program for new employees including comprehensive guidance on fee application, system use, as well as periodic, ongoing training. 4. Ensure staff retain all required documents when processing financial transactions such as permit fee refunds for greater transparency and accountability. Introduction Objective The objectives of this audit were to determine if the City’s building permit and inspection fees are accurately and consistently applied and evaluate the administration of the Development Services Program for adequate internal controls to safeguard the City from fraud, waste, and abuse. Background The City’s Planning and Development Services Department (PDS) is responsible for administering building permits and inspection services for residential, commercial, and mixed-use development projects. These services ensure that all construction activities within city limits comply with applicable building codes, zoning ordinances, and health and safety regulations. Fees associated with these services such as building permit fees, and re-inspection fees, are intended to support the City’s cost-recovery efforts, maintain efficient service delivery, and ensure fairness and consistency in how applicants are charged. Building permit and inspection fees are assessed on a cost-recovery basis within the development process and have a direct impact on residents, contractors, and businesses. The public expects these fees to be reasonable, consistently applied, and transparent. Inconsistencies or misapplications whether due to system limitations, staff discretion, or unclear guidance can lead to reputational risk, delays in construction timelines, or a perception of inequity among applicants. In Palo Alto, the permit issuance and fee calculation process is managed through Accela, the City’s electronic permitting system. This system allows for the intake of permit applications, automated fee calculations, scheduling of inspections, and documentation of changes, waivers, and/or refunds. Accela plays a key role in enforcing standardized fee schedules and recording valuation data, but it also allows staff to manually override certain values under specific circumstances. This flexibility can introduce control risks if not adequately monitored. During the audit period covering fiscal years 2023 through 2024, the City issued 7,686 building permits spanning residential remodels, new commercial construction, and other project types. The audit included a review of both plan check and inspection fee components, as well as related surcharges such as the SB 1473 state-mandated fee, technology fees, and record retention charges. In addition, the audit evaluated the processes and controls governing refunds, to ensure that all deviations from the standard fee schedule were properly documented, justified, and approved. The intention of this audit is to provide independent assurance that the Development Services Program is functioning effectively and with appropriate internal controls. 1 Government auditing standards require an external peer review at least once every three (3) years. The last peer review of the Palo Alto Office of the City Auditor was conducted in 2017. The Palo Alto City Council approved a contract with Baker Tilly U.S, LLP for internal audit services for October 2020 through June 2022 with an extension through June 2025. City Council appointed Kate Murdock, Audit Manager in Baker Tilly’s Risk Advisory practice, as City Auditor in May 2024. As a result of transitions in the Audit Office and peer review delays due to the COVID pandemic, an external peer review is targeted for 2025. It should be noted that Baker Tilly’s most recent firmwide peer review was completed in November 2024 with a rating of “Pass”. The scope of that peer review includes projects completed under government auditing standards. A report on the next firmwide peer review should be available later in 2024. activities and internal controls that manage the permit lifecycle across all applicable departments. • Interviewed the appropriate individuals to gain an understanding of the organizational structure, processes, and controls related to building permit and inspection fees. • Analyzed policies and procedures as well as the legislative and regulatory requirements to identify the criteria to be used for evaluation of control design and effectiveness. • Conducted on-site walkthroughs to gain an understanding of the building permit process, from initial application through final inspection, to inform our assessment of internal controls and fee application. • Judgmentally selected a sample of 54 permits issued in FY23-24 for testing. The sample included the following permit types: Commercial Remodel or Addition, Demo, Minor, New Commercial Building, New Multi-Family, New Single Family, Residential Remodel or Addition, Use and Occupancy only, and other permits to determine if the City’s building permit and inspection fees are accurately and consistently applied. • Judgmentally selected a sample of 10 refunds for testing which were evaluated for supervisor approval, proper accounting, accuracy of the refund amount, and adequacy of supporting explanations. • Judgmentally selected a sample of Re-inspections for testing to determine if re-inspections were accurately and consistently applied in accordance with the City’s fee schedule and Palo Alto Municipal Code 16.04.110. • Completed audit report of findings, conclusions, and recommendations based on the supporting evidence gathered. Statement This audit activity was conducted from January 2025 to September 2025 in accordance with generally accepted government auditing standards, except for the requirement of an external peer review 1. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings, observations, and conclusions based on our basis for our findings, observations, and conclusions based on our audit objectives. Strengths We noted the professionalism and responsiveness of the PDS throughout the audit. We appreciate the department’s participation in interviews, timely provision of building permit and inspection fee documentation for selected samples, and responsiveness to follow-up information requests. The OCA greatly appreciates the support of the Development Services Program staff involved in conducting this audit activity. Thank you! Detailed Analysis Best Practices: Building Permit and Inspection Fees Criteria that are transparent, efficient, and cost-effective. Leading practices endorsed by the Government Finance Officers Association (GFOA), International Code Council (ICC), California Building Officials (CALBO), and peer cities across the region support consistent fee application, sound internal controls, and public accountability. Benchmarking fee structures, processes, and outcomes against similar jurisdictions is a critical part of evaluating whether a city’s practices remain aligned with both regulatory and public service expectations. Key Best Practices Include: Fee Schedule Transparency and Accessibility Cities should maintain a clearly defined, publicly accessible fee schedule that is easy to interpret and reviewed at regular intervals ideally on an annual or biennial basis to ensure alignment with cost-of-service goals and regulatory changes. Palo Alto’s current fee schedule is easily accessible to the public and outlines multiple fee categories, including plan check fees, inspection fees, and state-mandated assessments such as SB 1473. Use of ICC Valuation Tables and Cost of Services Study Peer cities including Mountain View, Sunnyvale, and San Jose utilize the International Code Council’s (ICC) Building Valuation Data as a standardized basis for estimating construction costs, which informs the calculation of plan review and inspection fees. Industry best practices recommend updating these valuation tables annually and applying them consistently across all permit types. Palo Alto annually updated valuation tables aligning with industry best practices until FY2026. Since the timeframe of the audit, the Planning and Development Services Department has completed and implemented a cost of services study and developed an alternative fee methodology after determining the ICC valuation tables were too complex to accurately apply to commercial construction projects. The new hybrid model uses square footage for residential fees and an expanded valuation tier system for commercial projects, creating a more equitable structure that more accurately reflects project complexity and the associated costs of plan review and inspection services. This update also aligns with industry best practices of updating fees through a cost of services study every five to eight years. Benchmarking Against Peer Jurisdictions Benchmarking against peer cities helps assess whether Palo Alto’s fees are competitively positioned and cost-recovery goals are reasonable. For example, plan check fees for typical residential remodels in Palo Alto were found to be within 5– 15% of those charged by Mountain View and Sunnyvale. Inspection fees per permit were slightly higher than those in San Jose. 2 Significant changes were made to the Palo Alto FY2026 Fee Schedule and some of the benchmarked fees above may no longer apply. Table 1: FY2024 Development Services Fees Benchmarked 2 = Fee/fee structure similar to Palo Alto = Fee/fee structure differs from Palo Alto Fee Category Palo Alto Mountain View Sunnyvale San Jose Plan Check Fee • Based on ICC valuation • Sliding scale of permit fee • Based on ICC valuation • ~70% of permit fee • Based on ICC valuation • 65–75% of permit fee • Based on ICC valuation • Sliding scale of permit fee Building Permit Fee • Based on ICC • Tiered structure as project value increases • Based on ICC • Based on ICC • Based on ICC • Residential adjusted lower Inspection Fee • Typically included in permit fee • Typically included in permit fee • Separate line item, based on inspection hours • Flat fee for typical inspections Technology Surcharge • Incorporated into the fee schedule • 4–6% surcharge applied to all permits • 5% surcharge with cap • 3% surcharge • Waived for low- income or ADA retrofits SB 1473 Fee • Charged per CA BSC standard • Charged per CA BSC standard • Charged per CA BSC standard • BSC standard • Auto calculated Record Retention Fee • FY24 $7.56 Per Plan Sheet • Flat rate ($5– $20) • Often bundled into tech surcharge • Sometimes included in admin fee Permit Valuation Basis • ICC tables • Exceptions with approval • ICC tables • Exceptions with approval • ICC tables • Exceptions with approval • ICC tables • Exceptions with approval Refund Policy • Standard form & supervisor approval required • Standard form & supervisor approval required • Standard form & supervisor approval required • Standard form & supervisor approval required • Online request Public Fee Calculator Not available Not available Not available • Yes, robust estimator with plan set details 3 https://statescoop.com/san-jose-ai-permitting/ 4 https://sunnyvaleca.legistar.com/LegislationDetail.aspx?FullText=1&G=FA76FAAA-7A&GUID=8BB4D40E- 185A-4BC3-B6EA-9CC97BE43861&ID=7419969&Options=&Search= 5 https://developmentpermits.mountainview.gov/about-permits/fees/planning-permit-fees/planning-cost-recovery- fees 6 https://permits.sanjoseca.gov/fee-estimator/building Automated Fee Enforcement Through Permit Systems Accela and other e-permitting systems should be configured to calculate fees automatically based on input valuation and permit type. Manual overrides should be limited to authorized personnel and logged with justification and supervisory approval. Some peer cities, such as San Jose, have implemented audit flags within their permitting software 3 to detect inconsistencies in valuation entries or fee waivers. Standardized Refund and Adjustment Workflows Cities should have formal, written policies for granting refunds or fee adjustments, with clear documentation standards. Benchmark cities typically require a refund request form, written justification, and supervisor sign-off before processing. In contrast, inconsistent practices can lead to errors or public perception of favoritism. The City of Palo Alto currently follows the practices of benchmark cities. Peer Comparison of Staffing and Cost Recovery Cities like Sunnyvale 4 and Mountain View 5 regularly assess whether their Development Services programs are meeting cost-recovery targets and whether staffing levels align with workload demands. Palo Alto conducts similar assessments through its annual fee review and budget process. These evaluations are used to inform fee increases or process improvements. Public-Facing Permit Calculators and Estimators To improve transparency and reduce disputes, San Jose offers an online permit fee estimator 6. This tool allows applicants to enter basic project information and receive a preliminary estimate of fees owed enhancing trust and reducing back-and-forth with staff. Audit Results Finding 1: Overall, fee assessments for most major fees were accurately assessed, but some smaller fees were not applied consistently across all transactions. As discussed in the Background section of this report, the City’s Planning and Development Services Department (PDS) provides building permit and inspection services for residential, commercial and mixed-use building projects. The City’s Municipal Fee Schedule establishes the annual fees that will be charged for these services. The PDS is responsible for ensuring these fees are accurately and consistently applied. Building permit applications are typically submitted through the City’s online platform, Accela. Project coordinators review applications and determine which fees should be assessed based on the scope of the work being performed. OCA tested a sample of building permit types and inspection fees for accuracy and consistency. In FY23 and FY24, there were a total of 4,774 projects reviewed by the Development Services Center and 7,686 building permits issued. The Development Services Center collected approximately $15 million in revenue in FY23 and $17 million in revenue in FY24. Most major fees were accurately assessed, but some smaller fees were not consistently applied. OCA sampled 60 building permits from several different project types including: Commercial Remodel or Addition, Demolition, New Commercial Building, New Multi-Family, New Single Family, Residential Remodel or Addition, Use and Occupancy, and Minor. OCA judgmentally selected projects that had similar descriptions in order to determine if the same types of projects were assessed the same fees. While most major fees were accurately assessed, OCA found several smaller fees were not consistently applied. Some of these errors resulted in overcharging customers but most errors resulted in undercharging customers. Building Permit Fees Aside from SB1473 and Record Retention fee errors, OCA identified 2 projects out of 60 or 3% with missing fees. For one “Minor” building project, PDS staff confirmed that the project was not assessed a fire plan check fee. As a result, it appears this project did not receive a fire inspection. OCA found one error in the “New Single Family” home projects we evaluated. This project was not assessed the “New Single Family” fee of $1,305.72 as listed in the FY24 Fee Schedule. Staff confirmed that this was in error, and the project should have been charged this fee. Due to how could not provide an accurate estimate of uncollected building permit fees. SB 1473 – California Building Standards Administration Special Revolving Fund SB 1473 took effect in January 2009 and was established as a surcharge on both residential and non-residential building permits by the California Building Standards Commission. This surcharge fee has a rate of four dollars ($4) per one hundred thousand ($100,000) building valuation and is applied in increments of $25,000 with $1 being the minimum fee charged. The state requires that fees are submitted quarterly to the California Building Standards Commission. The bill also provides that a city may retain up to ten percent of the collected fees for administrative costs and code enforcement education. The PDS management confirmed that SB1473 fees are only applied to building permits and do not apply to standalone permits such as electrical, fire, or demolition. OCA’s testing found that some demolition permits were wrongly assessed the SB1473 fee. In FY23 and FY24 there were 224 demolition permits issued. OCA tested a sample of 13 permits. Out of the 13 demolition permits sampled, OCA found that 5 of the 13 or 38% had been charged the fee. On these permits, the SB1473 permit fee ranged from $1 to $41 with an average fee charge of $14.80 . If this error rate was found in the larger population of demolition permits, potentially 86 permits were erroneously charged the fee. Using the average amount of over- assessed fees, the City may have overcharged approximately $1,272.80. While this represents a small amount in overcharged fees, charging unauthorized fees can have financial, legal, operational and reputational consequences and the City should take steps to minimize such occurrences. Record Retention Fees The City’s fee schedule requires that all projects with plans pay a records retention fee. In FY23, the fee was $7.04 per plan sheet and in FY24 $7.88 per plan sheet. This fee helps cover the City’s costs in maintaining such records. Out of 60 samples, OCA found that the City had not assessed record retention fees for 15 projects or 25% of sampled projects. For the 15 projects where record retention fees were not assessed, $184.41 in fees (an average of $12.29 per project) should have been assessed and collected but were not. If we assume an error rate of 25% for the entire population of 4,774 projects in FY23 and FY24, 1,194 projects may not have been correctly assessed record the projects OCA sampled, OCA estimates the City may have underassessed $14,674.26 in record retention fees. While this represents less than a tenth of a percent of the total revenue collected by the Development Center each year, it is important to ensure fees are consistently and fairly assessed. OCA did note that based on the updated FY2026 fee model, record retention costs have been incorporated into the technology costs and therefore, the City no longer collects a separate record retention fee. Reinspection Fees Built into the City’s fee structure for residential projects are initial and follow-up inspections. Reinspection fees are assessed beginning with the second failed inspection in order to cover the cost of the third inspection, with additional fees required for each subsequent failure. Re-inspection fees not only cover the additional cost of the work performed by the City but also serve to disincentivize the customer from using City services in a way not intended. While these fees are an important tool for the Program to ensure efficient and timely review, it is important to note that there is flexibility in how they are applied and staff judgement in applying these fees is key to their administration. These fees do not apply to commercial and multi-family construction projects which have re- inspection fees built into the permit fees. Based on reports provided by staff, OCA found the City only charged 84 reinspection fees during FY23 and FY24. OCA sampled 10 of these projects where re-inspection fees were charged to see if the fees had been applied accurately and found no errors. In collaboration with PDS staff, OCA identified 164 permits during FY23 and FY24 out of 7,686 (approximately 2%) that might have missing re-inspection fees. OCA sampled 30 of these permits and found a total of 6 re-inspection fees that should have been charged but were not. It is difficult to put these numbers in context given that each permit is different and might have a different likelihood of needing a reinspection. However, assuming that for every 30 permits, one would find 6 re-inspections that were not charged a fee, this results in a rate of 1 re-inspection per every 5 permits. Assuming a population of 164 permits (as noted above), this results in potentially 33 re-inspection fees that were not collected during FY23 and FY24. In the FY2023 Fee Schedule, each “primary” re- inspection costs $172.95 and each “secondary” re-inspection costs $93.03. Assuming FY23 fees, at the low end, this represents approximately $3,070 in uncollected fees and at the high end approximately $5,707. OCA was unable to determine how many re-inspections should have been assessed a fee as there is currently no definitive labeling inspection and a fee should be applied. PDS management agreed that additional guidance would help ensure that these fees are more consistently and accurately applied. When a customer is informed of issues at the initial inspection, it is up to the customer to identify if they need additional resources to work to fix the problem and ensure they meet building codes. Re-inspections result in additional use of staff time and the more re-inspections the City is forced to perform, the more staff time is consumed with less available time to move other projects forward. Failing to apply fees consistently can present financial, legal and operational risks including lost revenue and possible exposure to lawsuits due to unfair treatment. Factors contributing to inconsistent fee assessment Through interviews with staff in PDS and observations of the building permit and inspection processes, OCA identified three primary factors contributing to inconsistent fee assessment. First, OCA noted a general lack of internal controls and oversight of building permit and inspection assessments. Second, staff mentioned the complexity of the fee schedule and how the fees are organized in the City’s cloud-based building platform, Accela. Third, staff mentioned the lack of training available for new employees. Lack of Oversight and Internal Controls According to PDS management and staff, the City discontinued regular internal audits of building permit and inspection fees during the COVID-19 pandemic and has not been able to resume these checks. According to management, this function was previously supported by the Development Center Manager and following the pandemic, the position’s priorities were realigned to focus on customer service initiatives. These efforts included expanding appointment availability to accommodate walk-in, virtual, and in- person customers. Additionally, management reported that the manger’s oversight was expanded to include both project coordination and planning staff located at the Development Center to enhance customer service and technical expertise at the counter. OCA noted that the Accela system has the capability to flag projects at random or to flag projects based on defined criteria established by the user agency. For example, San Jose reports that they have configured the system to flag projects with inconsistent valuations and when fees are waived. Staff also indicated that while they can consult with other project coordinators, the Development Center Manager, and the Chief Building Official on permitting questions, there is no formal, regular Development Center Manager provides ongoing informal training, which includes discussion on application processing questions form the project coordinators. In addition, these meetings occasionally include guest speakers from other partner departments to expand permitting knowledge during weekly program meetings. Without periodic review of staff work and building permit and inspection fee assessments, management is unable to determine if fees are being consistently and accurately assessed and misses the opportunity to correct staff errors early, making it more likely that mistakes are carried forward into future fee assessments. Complexity of the Fee Schedule and Accela Configuration According to PDS management, the City’s fee schedule has multiple components, and its application varies based on the specific requirements of each project. The schedule includes more than 18 different fee categories (e.g., Building Permit, Construction & Demolition, Electrical, Green Building, etc.) Within each fee category, there are numerous different fees that might apply to a project. The complexity of the fee schedule reflects the complexity of construction process itself. There are thousands of building projects constructed in Palo Alto each year and even two projects that may seem similar – for example, two new single-family homes, there will be many unique aspects of each project such as solar panels, a pool, a garage, etc. While the fee schedule was recently updated with a cost of services study, staff indicated that although some areas such as the residential square footage model were simplified, the schedule and process for assessing fees remains complex making it difficult to ensure consistency. In addition, staff concurred that developing standard operating procedures for fee applications will provide more transparency for customers and reduce potential frustrations. Future fee studies should explore ways to further simplify the schedule and alternate methods for communicating standards and requirements to customers, such as through a public facing fee calculator. Accela is designed to streamline and automate building application, permitting and inspection processes and the platform is used by many cities and counties in California. While staff indicated there are many positive aspects to the City’s use of the platform, one area that is challenging is how fees are configured in the system. Currently, fees are not grouped by project category and staff are forced to scroll through the entire system to locate fees. Many building projects that come through the City’s Development Services Center are complex and require multiple fee assessments. multiple screens and scroll down various permit lists to locate the appropriate fee and then repeat this process for each new fee. Staff stated that if fees were grouped, with a list of fees that are typically assessed for that type of project, it would save on time and also help with consistency as users would have a list to choose from rather than having to remember and look up each individual fee that might apply. In addition, staff stated that if the system could be configured to allow the project coordinator to select multiple fees at one time that would also save time rather than having to open the list for each fee selection. OCA spoke with the PDS Accela technical expert, and it appears that some, if not all, of the changes above could be implemented with support. The City contracts with a vendor that specializes in Accela configurations when changes need to be made to the system. The City will need to determine if the cost of making these changes is feasible. OCA also noted that some fees could be automated in the system. For example, record retention fees should be charged on every project. If there were a field prompting project coordinators to enter the number of plan pages when entering other essential project information, the system could automatically calculate this per page fee and not require any additional steps. In addition, the SB1473 fee applies to certain types of projects and could be automatically added to these project types. Training Staff reported that they attend training twice a year through CALBO, the California Building Officials. However, staff also reported that there isn’t a formal training process for new hires. According to staff, the City had a more formalized onboarding and training program for new project coordinators prior to the Covid 19 pandemic. According to management, changes to processes and procedures driven by new system requirements for application processing necessitated updates to formal training materials and standard operating procedures following the pandemic. Management asserted that development of these updated procedures and training programs is needed to align with current practices. Currently, new project coordinators are primarily trained by shadowing another project coordinator, however there are some downsides staff noted to this approach. The coordinator being shadowed may not be assigned the breadth of different project types during the shadow period leaving gaps in knowledge for the new individual. The coordinator is providing training in the moment but also tasked with performing their primary job function and for decisions being made. Staff indicated a more formal and dedicated training program would be helpful. According to the ICC Code of Ethics, code professionals have a duty to maintain and improve their competence. ICC training standards reinforce that jurisdictions should ensure staff are properly trained and supported to administer building codes and related fee structures. Sufficient, ongoing training can help minimize the risk of errors, inconsistent application of fees and strengthen compliance with building codes. Additional areas for improvement As part of this audit, OCA also evaluated the refund process. In FY23 and FY24 there were a total of 107 refunds issued. OCA randomly selected refunds for testing, as well as judgmentally selecting a few of the larger refunds. Refunds were tested for evidence of supervisor/manager approval, to ensure the amount aligns with the refund receipt and was appropriately processed through accounting, and that the amount refunded was in alignment with the fee schedule. All refunds evaluated were in alignment with the fee schedule, refunding 80% of the original fee amount unless there was a City error necessitating a full refund. However, out of the 10 refunds tested, 5 lacked the required documentation as outlined in the department procedure, which requires uploading the final refund documentation signed by a Senior Management Analyst. In these cases, staff had uploaded the refund documents initially sent to Accounting, but did not replace them with the finalized, signed versions once processing was complete. Staff should ensure that all final refund documents are included and saved in the appropriate files in Accela 1. Evaluate any areas identified by the audit where fees were inappropriately charged to customers and resolve any issues. 2. Reinstate periodic internal audits of building permit and reinspection fees on either a monthly or quarterly basis. This should include: a. developing a documented quality control process with assigned responsibilities to ensure this activity is performed consistently moving forward, b. procedures for providing feedback, and if appropriate, additional training to staff when errors c. ongoing tracking and monitoring of issues to identify patterns or trends that might require wider training or corrective actions for the department. 3. Explore the feasibility of simplifying fees and improving the Accela platform by: a. considering ways to simplify fee application processes and procedures including revisiting the fee structure itself and identifying opportunities to better communicate standards to customers, b. automating certain fees such as SB1743 as an internal control and to help streamline the assessment process, c. grouping fees by project type to ensure easier application by project coordinators, and d. configuring the software to allow coordinators to select multiple fees at one time. Performing an assessment to determine the time it takes for staff to individually select each permit versus being able to select them in one step might help to establish how much time could be saved by this enhancement and whether it is worth the investment. Such an assessment could also consider other fees for automation that are not specifically addressed through this audit. 4. We recommend the City evaluate the current training process and consider updating and/or reimplementing the onboarding and training program for new employees including comprehensive guidance on fee application, system use, as well as periodic, ongoing training. 5. Ensure staff retain all required documents when processing financial transactions such as permit fee refunds for greater transparency and accountability. Response Planning & Development Services Concurrence: Agree Target Date: 4th Quarter Fiscal Year 2026 Action Plan: 1. PDS is reviewing appropriate actions to address the areas identified by the audit where fees were inappropriately charged and will implement remediating actions as appropriate. (Target Date: Q2 FY 2026) 2. PDS will develop a documented quality control process to ensure that periodic internal audits of building permit and reinspection fees take place. This will include exploring technical solutions with Accela to flag permits for review as well as quarterly review of a randomized sample of permits. Concurrently, PDS will provide feedback and additional training when errors are identified and will also longitudinally track errors to identify trends and patterns. (Target Date: Q4 FY 2026) 3. PDS will explore the following via a request for proposals (RFP) for the Permitting and Land Use Management system: a. standard operating procedures for fee application by project type; b. providing clear guidance to applicants on how to calculate project valuations to create further equity in fee application; c. conducting additional analysis with a fee consultant to refine how fees are applied to projects with multiple standalone components, such as exploring the use of a fee multiplier; d. adding a permit fee estimation tool for simple projects to help applicants better understand permitting fees and project costs early in the process, increasing transparency and accountability in staff application of fees; and e. Assess tradeoffs of implementing technical solutions within Accela and feasibility of those enhancements to enhance the internal controls of the platform, including automating certain fees, grouping other fees, and configuring the software to better reflect the standard ‘use cases’ by project coordinators to minimize errors. 4. Staff agree an assessment of the current process and development of a onboarding and training program for staff including updating standard operating procedures for fee application by permit type and system navigation. (Target Date: Q4 FY 2026) 5. PDS staff will review existing refund procedures with administrative staff and retain all required final documents when processing financial transactions. Currently, all refunds are processed through accounting and have the proper documentation and signature approvals. Accela records should also be updated to maintain final signed copies rather than drafts. Additionally, staff will seek to consolidate refund transactions and establish a process to periodically audit refunds; regular review of transactions such as refunds will enhance compliance and internal controls. (Target Date: Q4 FY 2026) 13 PROFESSIONAL SERVICES TASK ORDER TASK ORDER FY25-4.31 Junior Museum and Zoo Consultant shall perform the Services detailed below in accordance with all the terms and conditions of the Agreement referenced in Item 1A below. All exhibits referenced in Item 8 below are incorporated into this Task Order by this reference. The Consultant shall furnish the necessary facilities, professional, technical and supporting personnel required by this Task Order as described below. CONTRACT NO. C21179340A OR PURCHASE ORDER REQUISITION NO. (AS APPLICABLE) 1A. MASTER AGREEMENT NO. (MAY BE SAME AS CONTRACT / P.O. NO. ABOVE): C21179340A 1B. TASK ORDER NO.: FY25-4.31 2. CONSULTANT NAME: Baker Tilly Advisory Group, LP 3. PERIOD OF PERFORMANCE: START: January 1, 2025 COMPLETION: June 30, 2025 4. TOTAL TASK ORDER PRICE: $89,900 BALANCE REMAINING IN MASTER AGREEMENT/CONTRACT TBD 5. BUDGET CODE_______________ COST CENTER________________ COST ELEMENT______________ WBS/CIP__________ PHASE__________ 6. CITY PROJECT MANAGER’S NAME & DEPARTMENT: Lydia Kou, Chair of the City Council’s Policy and Services Committee 7. DESCRIPTION OF SCOPE OF SERVICES (Attachment A) MUST INCLUDE: SERVICES AND DELIVERABLES TO BE PROVIDED SCHEDULE OF PERFORMANCE MAXIMUM COMPENSATION AMOUNT AND RATE SCHEDULE (as applicable) REIMBURSABLE EXPENSES, if any (with “not to exceed” amount) 8. ATTACHMENTS: A: Task Order Scope of Services B (if any): N/A Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 Kate Murdock Manager/ City Auditor 12/23/2024 Council Member Council Member Lydia Kou 12/25/2024 April 30, 2026 14 Attachment A DESCRIPTION OF SCOPE OF SERVICES Introduction Attachment A, the Description of Scope of Services, contains the following four (4) elements: Services and Deliverables To Be Provided Schedule of Performance Maximum Compensation Amount and Rate Schedule (As Applicable) Reimbursable Expenses, if any (With “Not To Exceed” Amount) Services & Deliverables Baker Tilly’s approach to conducting an internal audit of the Junior Museum and Zoo involves three (3) primary steps: Step 1: Audit Planning Step 2: Fieldwork and Testing Step 3: Reporting Step 1 – Audit Planning This step consists of the tasks performed to adequately plan the work necessary to address the overall audit objective and to solidify mutual understanding of the audit scope, objectives, audit process, and timing between stakeholders and auditors. Tasks include: Gather information to understand the environment under review o Understand the environment under assessment o Assess the City code, regulations, and other standards and expectations o Assess prior audit results, as applicable o Assess additional documentation and conduct interviews as necessary Assess the audit risk Prepare an audit planning memo and audit program o Refine audit objectives and scope o Identify the audit procedures to be performed and the evidence to be obtained and examined Announce the initiation of the audit and kick-off meeting with key stakeholders o Discuss audit objectives, scope, audit process, timing, resources, and expectations o Discuss documentation and interview requests for the audit Step 2 – Fieldwork and Testing The step involves executing the procedures in the audit program to gather information, interview individuals, and analyze the data and information to obtain sufficient evidence to address the audit objectives The preliminary audit objective is to determine if the City’s Junior Museum and Zoo is operating effectively and efficiently to fulfill the program’s mission. Procedures include, but are not limited to: Interviewing the appropriate individuals to gain an understanding of the organizational structure, processes, and controls related to the Junior Museum and Zoo Analyze policies and procedures as well as the program mission and objectives to identify the criteria to be used for evaluation of control design and effectiveness Compare processes and controls against best practices Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 15 Step 3 – Reporting In Step 3, the project team will perform tasks necessary to finalize audit working papers, prepare and review a draft report with stakeholders, and submit a final report for management response. Tasks include: Developing findings, conclusions, and recommendations based on the supporting evidence gathered Validating findings with appropriate individuals and discuss the root cause of the identified findings Complete supervisory review of working papers and a draft audit report Distribute a draft audit report and conduct a closing meeting with key stakeholders o Discuss the audit results, findings, conclusions, and recommendations o Discuss management responses Obtain written management responses and finalize a report Review report with members of City Council and/or the appropriate Council Committee Deliverables: The following deliverables will be prepared as part of this engagement: Audit Report Policy & Services Committee Audit Report Presentation Schedule of Performance Anticipated Start Date: January 1, 2025 Anticipated End Date: June 30, 2025 Maximum Compensation Amount and Rate Schedule The not-to-exceed maximum, inclusive of reimbursable expenses (as summarized below) for this Task is $89,900. The not-to-exceed budget is based on an estimate of 500 total project hours, of which a minimum of 40 are estimated to be completed by the City Auditor. Reimbursable Expenses We plan to complete all work remote including all interviews and documentation review. However, during the planning and fieldwork phases of this audit, the City and Baker Tilly may mutually determine it will be beneficial to perform a portion of the work on-site. Given this possibility, Baker Tilly could incur expenses for this Task. The not-to-exceed maximum for reimbursable expenses for this Task is $6,500. The following summarizes anticipated reimbursable expenses: Round-trip Airfare – $2,000 (1 round trip flight x 2 auditors) Ground transportation – $800 (car rental or Uber/taxi) Hotel accommodation – $3,000 (2 rooms x 4 nights) Food & Incidentals – $2,100 Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 19 PROFESSIONAL SERVICES TASK ORDER TASK ORDER FY25-4.33 Public Safety Staffing Consultant shall perform the Services detailed below in accordance with all the terms and conditions of the Agreement referenced in Item 1A below. All exhibits referenced in Item 8 below are incorporated into this Task Order by this reference. The Consultant shall furnish the necessary facilities, professional, technical and supporting personnel required by this Task Order as described below. CONTRACT NO. C21179340A OR PURCHASE ORDER REQUISITION NO. (AS APPLICABLE) 1A. MASTER AGREEMENT NO. (MAY BE SAME AS CONTRACT / P.O. NO. ABOVE): C21179340A 1B. TASK ORDER NO.: FY25-4.33 2. CONSULTANT NAME: Baker Tilly Advisory Group, LP 3. PERIOD OF PERFORMANCE: START: January 1, 2025 COMPLETION: June 30, 2025 4. TOTAL TASK ORDER PRICE: $95,670 BALANCE REMAINING IN MASTER AGREEMENT/CONTRACT TBD 5. BUDGET CODE_______________ COST CENTER________________ COST ELEMENT______________ WBS/CIP__________ PHASE__________ 6. CITY PROJECT MANAGER’S NAME & DEPARTMENT: Lydia Kou, Chair of the City Council’s Policy and Services Committee 7. DESCRIPTION OF SCOPE OF SERVICES (Attachment A) MUST INCLUDE: SERVICES AND DELIVERABLES TO BE PROVIDED SCHEDULE OF PERFORMANCE MAXIMUM COMPENSATION AMOUNT AND RATE SCHEDULE (as applicable) REIMBURSABLE EXPENSES, if any (with “not to exceed” amount) 8. ATTACHMENTS: A: Task Order Scope of Services B (if any): N/A Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 Manager/ City Auditor Kate Murdock 12/23/2024 Council Member Council Member Lydia Kou 12/25/2024 April 30, 2026 20 Attachment A DESCRIPTION OF SCOPE OF SERVICES Introduction Attachment A, the Description of Scope of Services, contains the following four (4) elements: Services and Deliverables To Be Provided Schedule of Performance Maximum Compensation Amount and Rate Schedule (As Applicable) Reimbursable Expenses, if any (With “Not To Exceed” Amount) Services & Deliverables Baker Tilly’s approach to conducting an internal audit of Public Safety Staffing including Overtime three (3) primary steps: Step 1: Audit Planning Step 2: Fieldwork and Testing Step 3: Reporting Step 1 – Audit Planning This step consists of the tasks performed to adequately plan the work necessary to address the overall audit objective and to solidify mutual understanding of the audit scope, objectives, audit process, and timing between stakeholders and auditors. Tasks include: Gather information to understand the environment under review o Understand the environment under assessment o Assess the City code, regulations, and other standards and expectations o Assess prior audit results, as applicable o Assess additional documentation and conduct interviews as necessary Assess the audit risk Prepare an audit planning memo and audit program o Refine audit objectives and scope o Identify the audit procedures to be performed and the evidence to be obtained and examined Announce the initiation of the audit and kick-off meeting with key stakeholders o Discuss audit objectives, scope, audit process, timing, resources, and expectations o Discuss documentation and interview requests for the audit Step 2 – Fieldwork and Testing The step involves executing the procedures in the audit program to gather information, interview individuals, and analyze the data and information to obtain sufficient evidence to address the audit objectives The preliminary audit objective is to determine if the Public Safety Departments (Fire and Police) are effectively and efficiently staffed including use of overtime: Interviewing the appropriate individuals to gain an understanding of the organizational structures, processes, and controls related to staffing and use of overtime including plans and systems used Analyze policies and procedures related to Public Safety staffing to identify the criteria to be used for evaluation of control design and effectiveness Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 21 Analyze Public Safety performance metrics to determine if staffing levels enable desired performance outcomes Compare performance processes and controls against best practices Step 3 – Reporting In Step 3, the project team will perform tasks necessary to finalize audit working papers, prepare and review a draft report with stakeholders, and submit a final report for management response. Tasks include: Developing findings, conclusions, and recommendations based on the supporting evidence gathered Validating findings with appropriate individuals and discuss the root cause of the identified findings Complete supervisory review of working papers and a draft audit report Distribute a draft audit report and conduct a closing meeting with key stakeholders o Discuss the audit results, findings, conclusions, and recommendations o Discuss management responses Obtain written management responses and finalize a report Review report with members of City Council and/or the appropriate Council Committee Deliverables: The following deliverables will be prepared as part of this engagement: Audit Report Policy & Services Committee Audit Report Presentation Schedule of Performance Anticipated Start Date: January 1, 2025 Anticipated End Date: June 30, 2025 Maximum Compensation Amount and Rate Schedule The not-to-exceed maximum, inclusive of reimbursable expenses (as summarized below) for this Task is $95,670. The not-to-exceed budget is based on an estimate of 500 total project hours, of which a minimum of 50 are estimated to be completed by the City Auditor. Reimbursable Expenses We plan to complete all work remote including all interviews and documentation review. However, during the planning and fieldwork phases of this audit, the City and Baker Tilly may mutually determine it will be beneficial to perform a portion of the work on-site. Given this possibility, Baker Tilly could incur expenses for this Task. The not-to-exceed maximum for reimbursable expenses for this Task is $6,500. The following summarizes anticipated reimbursable expenses: •Round-trip Airfare – $2,000 (1 round trip flight x 2 auditors) •Ground transportation – $800 (car rental or Uber/taxi) •Hotel accommodation – $3,000 (2 rooms x 4 nights) •Food & Incidentals – $2,100 Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 22 PROFESSIONAL SERVICES TASK ORDER TASK ORDER FY25-4.34 Follow-Up Audit Activities Consultant shall perform the Services detailed below in accordance with all the terms and conditions of the Agreement referenced in Item 1A below. All exhibits referenced in Item 8 below are incorporated into this Task Order by this reference. The Consultant shall furnish the necessary facilities, professional, technical and supporting personnel required by this Task Order as described below. CONTRACT NO. C21179340A OR PURCHASE ORDER REQUISITION NO. (AS APPLICABLE) 1A. MASTER AGREEMENT NO. (MAY BE SAME AS CONTRACT / P.O. NO. ABOVE): C21179340A 1B. TASK ORDER NO.: FY25-4.34 2. CONSULTANT NAME: Baker Tilly Advisory Group, LP 3. PERIOD OF PERFORMANCE: START: January 1, 2025 COMPLETION: June 30, 2025 4. TOTAL TASK ORDER PRICE: $59,390 BALANCE REMAINING IN MASTER AGREEMENT/CONTRACT TBD 5. BUDGET CODE_______________ COST CENTER________________ COST ELEMENT______________ WBS/CIP__________ PHASE__________ 6. CITY PROJECT MANAGER’S NAME & DEPARTMENT: Lydia Kou, Chair of the City Council’s Policy and Services Committee 7. DESCRIPTION OF SCOPE OF SERVICES (Attachment A) MUST INCLUDE: SERVICES AND DELIVERABLES TO BE PROVIDED SCHEDULE OF PERFORMANCE MAXIMUM COMPENSATION AMOUNT AND RATE SCHEDULE (as applicable) REIMBURSABLE EXPENSES, if any (with “not to exceed” amount) 8. ATTACHMENTS: A: Task Order Scope of Services B (if any): N/A Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6 Kate Murdock Manager/ City Auditor 12/23/2024 Council Member 12/25/2024 Council Member Lydia Kou April 30, 2026 23 Attachment A DESCRIPTION OF SCOPE OF SERVICES Introduction Attachment A, the Description of Scope of Services, contains the following four (4) elements: Services and Deliverables To Be Provided Schedule of Performance Maximum Compensation Amount and Rate Schedule (As Applicable) Reimbursable Expenses, if any (With “Not To Exceed” Amount) Services & Deliverables Baker Tilly will provide the following services in conducting Follow-Up Audit Activities:: Track and monitor progress on all audit recommendations Obtain sufficient evidence to support conclusions regarding the status of audit recommendations Annually report on the status of recommendations Deliverables: The following deliverables will be prepared as part of this engagement: Annual Status of Audit Recommendations Report Policy & Services Committee Report Presentation Schedule of Performance Anticipated Start Date: January 1, 2025 Anticipated End Date: June 30, 2025 Maximum Compensation Amount and Rate Schedule The not-to-exceed maximum, inclusive of reimbursable expenses (as summarized below) for this Task is $59,390. The not-to-exceed budget is based on an estimate of 500 total project hours, of which a minimum of 40 are estimated to be completed by the City Auditor. Docusign Envelope ID: F60E09CC-400F-404E-8132-93318BE5ADE6