Report 2014-602 Recommendation 7 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 #7 To: Technology, California Department of
To better track its oversight actions and sponsoring agencies' responses to these actions, CalTech should retain the briefing documents created for the State CIO's portfolio meetings and the project status reports that sponsoring agencies submit while project oversight is ongoing.
Annual Follow-Up Agency Response From October 2016
In working with CSA, ITPOD successfully developed a new folder system in SharePoint to capture and retain each month's Briefing Document for all projects subject to CDT oversight. Screen copies of this new folder system and a sample of non-confidential information will be forwarded to CSA this month for closure of this recommendation.
- Completion Date: October 2016
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
1-Year Agency Response
Briefing Documents are being saved in ITPOD Share Point system. Copies of saved briefing documents and recorded action items from portfolio meetings were previously provided to the auditors as evidence of completion. (Recent examples are attached)
a. The expectation that every staff member must maintain and update the briefing document is included in an ITPOD Principles and Expectations document.
- Completion Date: July 2015
- Response Date: March 2016
California State Auditor's Assessment of 1-Year Status: Partially Implemented
Caltech's response does not address the retention of project status reports that agencies submit while project oversight is ongoing.
- Auditee did not address all aspects of the recommendation
6-Month Agency Response
ITPOD staff are saving the briefing documents and recording action items from portfolio meetings in the SharePoint e-File room.
- Completion Date: July 2015
- Response Date: September 2015
California State Auditor's Assessment of 6-Month Status: Pending
During our follow up with CalTech to obtain documentation to support its response, CalTech informed us that its e-File room in SharePoint needs to be modified to implement version control so that when a new briefing document is uploaded it does not overwrite the prior version. Also, CalTech believes that its PPM Central System that is used to publish project status reports on its public website has a bug that may affect the presentation of the reports' information. As a result, CalTech is still working to fully implement our recommendation to retain briefing documents and project status reports.
- Auditee did not substantiate its claim of full implementation
60-Day Agency Response
Plan for Implementation:
- Develop a written process for ITPOD staff to follow to retain all briefing documents and project status reports while the projects are in an active status - in process
- Develop a location in SharePoint for retention of action items from Portfolio meetings - not started
- Estimated Completion Date: 07/31/2015
- Response Date: May 2015
California State Auditor's Assessment of 60-Day Status: Pending
Agency responses received are posted verbatim.