Report 2014-602 Recommendation 5 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 #5 To: Technology, California Department of

To help ensure the independence and objectivity of IPO analysts working in the oversight and consulting division, CalTech should develop a policy outlining expectations for independence and objectivity while performing oversight of IT projects.

Annual Follow-Up Agency Response From October 2016

In working with California State Auditor (CSA), ITPOD had completed an updated version of the Principles and Expectations document with additional content on the definition and subject of "independence". This updated document will be forwarded to CSA for closure of this recommendation.

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


1-Year Agency Response

ITPOD has established a Principles & Expectations document for all staff. (See attachment) Among a number of important expectations, this document states that ITPO managers must understand and maintain their independence while performing project oversight work. This is now provided to every new staff member and signed by both the staff person and their manager. ITPOD has also included the topic of "independence" as a standing agenda item in our regular weekly staff meetings on Friday. (See attachment) We encourage the staff to share their successes and challenges in maintaining their independence.

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

Caltech's "Principles & Expectations" document lacks a definition of independence, and it does not address how IPO analysts will maintain their independence while performing oversight of IT projects.


6-Month Agency Response

Activity is progressing in developing a new policy of expectations for IPO analysts.

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


60-Day Agency Response

- Change the name of the IT Project Oversight and Consulting Division (ITPOC) to IT Project Oversight Division (ITPOD) - partially complete

- Develop a policy for ITPOD staff to follow - in process

- Add the concept of independence as a standing item for discussion on the ITPOD staff meeting agenda - completed

- Incorporate the independence concept into the scripts for each stage referenced above - not started

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


All Recommendations in 2014-602

Agency responses received are posted verbatim.