Report 2014-116 Recommendation 8 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 #8 To: Technology, California Department of

Continue implementing the STAR project for state departments and ensure that its framework requires departments undertake detailed business process analyses before submitting FSRs to CalTech for approval.

Annual Follow-Up Agency Response From October 2016

Final policy for the Project Approval Lifecycle, Stages 1 & 2 were issued on July 1, 2015. Stage 3 was implemented in January 2016. Stage 4 was released in August 2016.

Business process analysis is required in Stage 2 for project proposals that involve development of/or changes to business processes. In Stage 2 departments are required to document current business processes and the anticipated new business process, if possible. This is used to help evaluate viable alternative solutions and also contributes to the requirements that are in the solicitation document (RFP). The Collaborative Review Guidelines emphasize the importance to taking into account business processes. (SIMM Section 19B Stage 2 Alternatives Analysis B.5 Gate 2 Collaborative Review Guidelines)

  • Completion Date: August 2016

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


1-Year Agency Response

Final policy for the Project Approval Lifecycle, Stages 1 & 2 were issued on July 1, 2015. Stage 3 was implemented in January 2016. See attached Policy Letter (TL 16-02). Stage 4 is scheduled for final release in July 2016. It should be noted that the new Project Approval Lifecycle replaces the FSR and as such, FSRs will no longer be submitted.

Business process analysis is required in Stage 2 for project proposals that involve development of or changes to business processes. In Stage 2 Departments are required to document current business processes and the anticipated new business process if possible. This is used to help evaluate viable alternative solutions and also contributes to the requirements that are in the solicitation document (RFP).

  • Estimated Completion Date: July 2016
  • Response Date: February 2016

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


6-Month Agency Response

Final policy for the Project Approval Lifecycle, stages 1 & 2 were issued on July 1, 2015. Stages 3 & 4 are scheduled for final release in January 2016.

  • Estimated Completion Date: January 2016
  • Response Date: August 2015

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


60-Day Agency Response

60-Day Update:

CalTech is continuing to build out the Stage Gate framework. The final policy for implementation is expected to be issued in January 2016.

  • Estimated Completion Date: 01/31/2016
  • 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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