To clarify and reinforce its oversight authority with sponsoring agencies, by December 2015 CalTech should develop a method to formally document and communicate its expectations with the sponsoring agencies whose projects are under CalTech's oversight.
The new SIMM 45, with a project oversight fact sheet was developed and posted.
CalTech provided us its revised IT Project Oversight Fact Sheet, which more clearly outlines its expectations for departments when performing oversight on IT projects. These expectations clearly state that IPO analysts will have access to all documents and meetings for an IT project, and that departments are to take appropriate actions to respond to recommendations that IPO analysts make. Therefore, we consider this recommendation fully implemented.
ITPOD has developed a draft "Project Oversight Fact Sheet", which will be referenced in and enclosed with the approval letter for exiting each stage of the Project Approval Lifecycle. The final version is expected to be completed in December 2016.
ITPOD has developed a draft "Project Oversight Fact Sheet" which will be referenced in and enclosed with the approval letter for exiting each stage of the Project Approval Lifecycle. (See attached draft Fact Sheet and S1BA Approval Letter Template)
While Caltech has spelled its general framework for authority, it needs to include in this framework the importance of it being independent when performing independent project oversight.
Activity is progressing in developing an expectation document for agencies.
Plan for Implementation:
- Develop a script for ITPO managers to use at the beginning of each stage of the project approval process which defines the purpose of the stage, the roles and responsibilities of CalTech and the state entity during the stage and the high level conditions for completing the stage - In process
- Develop an approval template to be used at the end of Stage 2 and Stage 4 which includes a citation of CalTech's authority to oversee projects - Not started
†Response Type refers to the interval in which the auditee is providing the State Auditor with their status in implementing recommendations made in an audit report. Auditees must submit a response regarding their progress in implementing recommendations from our reports at three intervals from the release of the report: 60 days, six months, and one year or subsequent to one year.
*Agency responses received after June 2013 are posted verbatim.