Report 2014-602 Recommendation 4 Responses

Report 2014-602: High Risk Update—California Department of Technology: Lack of Guidance, Potentially Conflicting Roles, and Staffing Issues Continue to Make Oversight of State Information Technology Projects High Risk (Release Date: March 2015)

Recommendation #4 To: Technology, California Department of

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.

Annual Follow-Up Agency Response From November 2017

The new SIMM 45, with a project oversight fact sheet was developed and posted.

  • Completion Date: April 2017

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

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.


Annual Follow-Up Agency Response From October 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. The final version is expected to be completed in December 2016.

  • Estimated Completion Date: December 2016

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


1-Year Agency Response

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)

  • Completion Date: March 2016
  • Response Date: March 2016

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

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.

  • Auditee did not address all aspects of the recommendation

6-Month Agency Response

Activity is progressing in developing an expectation document for agencies.

  • Estimated Completion Date: Dec 2015
  • Response Date: September 2015

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


60-Day Agency Response

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

  • Estimated Completion Date: 12/31/2015
  • Response Date: May 2015

California State Auditor's Assessment of 60-Day Status: Pending


All Recommendations in 2014-602

Agency responses received are posted verbatim.