Report 2014-116 Recommendation 23 Responses

Report 2014-116: California Department of Consumer Affairs' BreEZe System: Inadequate Planning and Oversight Led to Implementation at Far Fewer Regulatory Entities at a Significantly Higher Cost (Release Date: February 2015)

Recommendation #23 To: Consumer Affairs, Department of

If Consumer Affairs determines that a new IT project is warranted in the future, it should develop a process to ensure the success of that project that includes, at a minimum, sufficient staffing.

Annual Follow-Up Agency Response From October 2016

The California Department of Technology has implemented a revised Project Approval Lifecycle (SIMM 19), which includes a four stage project review and approval process. Stage 4 of this approval process requires Department of Technology review and approval of project resources to ensure that they are available, sufficient, and properly qualified, experienced, and trained (SAM 4928 - Information Technology). As the Department's IT projects fall under the Department of Technology's purview, the revised Project Approval Lifecycle (fully implemented as of August 29, 2016 per Technology Letter 16-07) will ensure that any future IT project at the Department includes a project team of sufficient size.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

1-Year Agency Response

The California Department of Technology has implemented a revised Project Approval Lifecycle (SIMM 19), which includes a four stage project review and approval process. Stage 4 of this approval process requires Department of Technology review and approval of project resources to ensure that they are available, sufficient, and properly qualified, experienced, and trained (SAM 4928 - Information Technology). As the Department's IT projects fall under the Department of Technology's purview, the revised Project Approval Lifecycle will ensure that any future IT project at the Department includes a project team of sufficient size.

Additionally, the Department has developed a process to ensure that its IT projects meet all project management documentation requirements during their planning phase (Attachment 2). This Department process requires any future IT project to include a Human Resources (Staffing) Plan as a project critical success factor.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

According to the Department of Technology's one-year response to recommendations eight through ten regarding its four stage project review and approval process, Stage 4 of that approval process is scheduled for final release in July 2016. Thus, until that stage is finalized and includes steps to ensure that any future IT project includes a project team that is qualified and experienced, we will continue to report this recommendation as not fully implemented. However, because Consumer Affairs has developed a project management plan development procedure, which includes a Human Resources Management plan, we will report this recommendation as partially implemented.

6-Month Agency Response

As stated in the response to Recommendation #19, a project staffing plan will be required prior to embarking on any new IT project. Further to ensure sufficient staffing, the plan will include obtaining commitments from key staff (boards and bureaus) before actual work begins.

California State Auditor's Assessment of 6-Month Status: Pending

Until Consumer Affairs develops a formal process to ensure that, at a minimum, it has sufficient staffing as part of a new IT project in the future, we will not consider this recommendation fully implemented. According to Consumer Affairs, it plans to provide us with a status update on its implementation of this recommendation in its one-year response.

60-Day Agency Response

The Department will develop a project staffing plan prior to embarking on any new IT project. Items that will be included in the project staffing plan are the number of staff required, how staff will be acquired, length of time the staff will be needed, qualifications, skills, and training needs. Additionally, the plan will include obtaining commitments from key staff (boards and bureaus) before actual work begins.

California State Auditor's Assessment of 60-Day Status: No Action Taken

We followed-up with Consumer Affairs on the status of this recommendation as reported in its 60-day response, and learned that it intends on developing a plan that will include activities that address this recommendation after it implements BreEZe at the phase 2 regulatory entities.

All Recommendations in 2014-116

Agency responses received are posted verbatim.