Report 2014-116 Recommendation 22 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 #22 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, timely response to concerns that the IV&V consultant and the IPO specialist raise.

Agency Response*

The Department, in collaboration with Department of Technology, implemented a process to document and report activities the project undertakes in response to Project Oversight findings related to BreEZe. These reports identify the steps taken to sufficiently respond to concerns that the IPO specialist and the IV&V consultant raise and are reviewed with Project Oversight staff no less than once per month. The Department has developed a standard response template (Attachment 1) that will ensure future IT projects have the tool to facilitate clear communication with oversight staff and provides timely documented response to IV&V and/or IPO identified concerns.

  • Response Type†: Annual Follow Up
  • Completion Date: July 2016
  • Response Date: October 2016

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

The Department, in collaboration with Department of Technology, implemented a process to document and report activities the project undertakes in response to Project Oversight findings related to BreEZe. These reports identify the steps taken to sufficiently respond to concerns that the IPO specialist and the IV&V consultant raise and are reviewed with Project Oversight staff no less than once per month. The Department is developing a standard process and response template that will ensure future IT projects provide timely documented response to IV&V and/or IPO identified concerns.

  • Response Type†: 1-Year
  • Estimated Completion Date: July 1, 2016
  • Response Date: February 2016

California State Auditor's Assessment of Status: Pending


Agency Response*

The Department, in collaboration with Department of Technology (CalTech), implemented a process to document and report activities the project undertakes in response to oversight findings related to BreEZe as identified by CalTech's IPO and IV&V oversight staff. These reports identify the steps taken to sufficiently respond to concerns that the IPO specialist and the IV&V consultant raise and are reviewed with CalTech oversight staff at least once a month. These reports are available and can be requested from CalTech's IPO and IV&V staff. Prior to any new IT project in the future, the Department will follow this or a similar model to ensure timely responses to oversight staff concerns.

  • Response Type†: 6-Month
  • Completion Date: July 2015
  • Response Date: August 2015

California State Auditor's Assessment of Status: Pending

Although Consumer Affairs indicates that it collaborated with CalTech and implemented a process to document and report activities the project undertakes in response to concerns raised by the IV&V consultant and IPO specialist, this process is specific to BreEZe. As a result, not until Consumer Affairs develops a standard process that staff are required to use on any new IT projects it may undertake in the future will we 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.

  • Auditee did not substantiate its claim of full implementation

Agency Response*

The Department, in collaboration with Department of Technology (CalTech), has implemented a process to clearly document all activities the project undertakes in response to oversight findings related to BreEZe as identified by CalTech's IPO and IV&V oversight staff. This documentation identifies the steps taken to sufficiently respond to any concerns that the IPO specialist and the IV&V consultant raise and is reviewed in its entirety with CalTech oversight staff each month at a minimum. This process will be used for all future IT projects.

  • Response Type†: 60-Day
  • Completion Date: January 2015
  • Response Date: April 2015

California State Auditor's Assessment of Status: Partially Implemented

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. Thus, although it reported that it has developed a process for responding to oversight findings related to BreEZe, not until it develops a plan for future IT projects that adresss this recommendation will we be able to fully assess its progress in implementing this recommendation.

  • Auditee did not substantiate its claim of full implementation

All Recommendations in 2014-116

†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.


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