Report 2014-116 Recommendation 30 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 #30 To: Registered Nursing, Board of

To ensure that BRN has adequate data to effectively use its resources and manage its workload, it should formally track and monitor the timeliness of its processing of applications by type and the cause of any delays.

Annual Follow-Up Agency Response From November 2017

As a result of the Auditor's January 2017 response, the BRN completed development of more than 15 reports to formally track and monitor applications by type and deficiency. Some reports are reviewed daily, weekly, and monthly by managers as noted in the Succession Plan: Licensing Management Manual (SPLMM). Instructions and guidance for usage of these reports by management are formally outlined in the SPLMM on pages 10-14. Management's review of the reports is to ensure applications are processed in accordance with regulatory timeframes, identify delays in application processing, and remedy any causes of such delay.

  • Completion Date: September 2017

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


Annual Follow-Up Agency Response From January 2017

Beginning in May 2016 the BRN has been able to formally track and monitor applications by type by utilizing the new Quality Business Interactive Reporting Tool (QBIRT). The BRN has been tracking application deficiency periods and now can track the specific cause for the delay because the BRN further refined the QBIRT report to track deficiencies within BreEZe to identify specific causes of application delays. The BRN reviews this report on a bi-weekly basis to ensure applications are evaluated on a timely basis and to remedy any causes for delay within BRNs purview.

  • Completion Date: December 2016

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

Although BRN was able to provide reports demonstrating that it now has the capability to track and monitor the timeliness of its processing of applications by type and the cause of any delays, it has not yet formalized its process for reviewing these reports. Thus, until BRN sets forth this review process in its policies and procedures, we will continue to report this recommendation as partially implemented.

  • Auditee did not substantiate its claim of full implementation

Annual Follow-Up Agency Response From October 2016

BRN staff worked with the Department of Consumer Affairs (DCA) and initiated a system enhancement to track application processing at specified points within the application life cycle and the data has been used to track the timeliness of application processing by type. This enhancement to track the postmark date, initial review date and deficiency period was implemented in BreEZe for the BRN starting July 1, 2015.

Additionally, starting in May 2016 the BRN has been able to formally track and monitor applications by type by utilizing the new Quality Business Interactive Reporting Tool (QBIRT). The BRN can track application deficiency periods, but cannot currently track the specific cause for the delay. The BRN is working with DCA BreEZe staff to update and create new specific deficiency tracking points within BreEZe to allow for more detailed application deficiency tracking which will allow the BRN the ability to identify specific causes of application delays.

The BRN anticipates implementation of these changes by July 1, 2017 and once completed this recommendation will be considered fully implemented.

  • Estimated Completion Date: July 1, 2017

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


1-Year Agency Response

BRN staff worked with the Department of Consumer Affairs (DCA) and initiated a system enhancement request to track application processing at specified points within the application life cycle and the data will be used to track the timeliness of application processing by type.

The enhancement to track the postmark date, initial review date and deficiency period was implemented in BreEZe for use starting July 1, 2015.

Reports were released into production on January 19, 2016, when release 2 was deployed in BreEZe. BRN staff is verifying data to determine the accuracy of information provided in the reports.

The BRN continues to use data extracts that were created to help ensure applications are processed in a timely manner.

  • Estimated Completion Date: 7/1/2016
  • Response Date: February 2016

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


6-Month Agency Response

BRN staff worked with the Department of Consumer Affairs (DCA) and initiated a system enhancement request to track application processing at specified points within the application life cycle and the data will be used to track the timeliness of application processing by type.

The enhancement to track the postmark date, initial review date and deficiency period was implemented in BreEZe for use starting July 1, 2015.

The report is still under development for use by boards and bureaus utilizing BreEZe and is expected to be available by July 1, 2016.

In the interim, staff members are working with DCA to design and develop adhoc queries to ensure applications are processed in a timely manner.

  • Estimated Completion Date: 7/1/2016
  • Response Date: August 2015

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


60-Day Agency Response

BRN staff is working with Department of Consumer Affairs (DCA) and has initiated a system enhancement request to track application processing at specified points within the application life cycle and the data will be used to track the timeliness of application processing by type.

The enhancement request was presented at the March 24, 2015 Change Control Board (CCB) for review and approval. The CCB approved the system enhancement and expects to have the enhancement in BreEZe for use by July 1, 2015.

In addition, the BRN is requesting an additional system enhancement to track the initial review date for each application type as this was not included in the DCA's original enhancement request. It is hoped this additional system enhancement will be included in the release by July 1, 2015.

In the interim, staff members are working with the DCA to design and develop adhoc queries to ensure applications are processed in a timely manner.

  • Estimated Completion Date: 07/01/2015
  • Response Date: April 2015

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


All Recommendations in 2014-116

Agency responses received are posted verbatim.


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