Report 2014-602 Recommendation 3 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 #3 To: Technology, California Department of

By December 2015 CalTech should develop and adopt criteria to guide the type and degree of intervention it will take to prevent IT projects with significant problems from continuing without correction, including what conditions could trigger CalTech to consider suspending or terminating an IT project.

Agency Response*

Reflected in SIMM 45, CDT developed and adopted criteria to guide the type and degree of intervention it will take to prevent IT projects with significant problems from continuing without correction.

  • Response Type†: Annual Follow Up
  • Completion Date: March 2017
  • Response Date: November 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

ITPOD has developed a draft escalation and correction action plan. The final version is expected to be completed in December 2016.

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

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

The Information Technology Project Oversight Division ITPOD has developed an escalation process which includes a reporting template and examples of conditions that warrant escalation (See attached). In the course of drafting the escalation process, ITPOD decided to also develop a "Corrective Action Plan" process which will formally notify departments that certain conditions or negative trends must be remediated, and if allowed to continue, could result in suspension or termination of the project. This process will become official State policy which necessitates allowing for consultation with Agency Information Officers and drafting State Administrative Manual updates. The additional time needed for this recommendation is due to the anticipated time needed to appropriately articulate and vet the conditions which warrant this action.

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

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

Activity is progressing in developing the criteria for future use in determining project intervention.

  • Response Type†: 6-Month
  • Estimated Completion Date: Dec 2015
  • Response Date: September 2015

California State Auditor's Assessment of Status: Pending


Agency Response*

- Draft policy for SAM or SIMM - not started

- Incorporate all content into ITPOD training program - not started

  • Response Type†: 60-Day
  • Estimated Completion Date: 12/31/2015
  • Response Date: May 2015

California State Auditor's Assessment of Status: No Action Taken


All Recommendations in 2014-602

†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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