Report 2014-602 Recommendation 6 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 #6 To: Technology, California Department of
To help ensure the independence and objectivity of IPO analysts working in the oversight and consulting division, CalTech should provide regular training regarding maintaining independence while conducting project oversight.
Annual Follow-Up Agency Response From October 2019
The CDT Office of Statewide Project Delivery (OSPD) has developed and implemented a four-hour curriculum and scheduled and delivered training to the Project Approvals and Oversight staff and now requires this training to be refreshed annually as part of annual training requirements.
- Completion Date: September 2019
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From October 2018
CDT has developed procedures and training to have new and current IPO analysis take regular training involving independence. Independence training was last provided on Oct 5, 2018, to IPO analysts, supervisors and managers.
This independence training is planned to be conducted at least annually.
- Completion Date: October 2018
California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented
We reviewed the October 2018 training as well as information CalTech provided in previous years for this recommendation. The slides for this training presentation focused on background information about independence from the IEEE standards and Government Code, which we acknowledge are important to understand the IPO analyst's role and authority. However, as we stated in our response in 2017, we indicated this training should provide examples of situations and coaching to staff. We added this explanation in response to CalTech's request for clarification of what actions we were looking for it to take to address this recommendation. We also note that CalTech's "principles and expectations" document, which it provided in 2016, does include an appropriate definition of independence, but the training should teach IPO analysts how to operationalize this independence through a demonstration of situational problems that occur while IPO analysts are serving in their oversight roles. Finally, the October 2018 training was part of an overall meeting that included five other topics and was scheduled to last for 90 minutes, which indicates that independence was not the primary topic and time spent on it was unclear.
- Auditee did not substantiate its claim of full implementation
Annual Follow-Up Agency Response From November 2017
The Quarterly Training Plan needs to be updated to cover Independence including providing examples of situations and coaching to staff. Expected completion date is March 2018.
- Estimated Completion Date: March 2018
California State Auditor's Assessment of Annual Follow-Up Status: Pending
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.
- Completion Date: October 2016
California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented
Although CalTech indicates that it includes the topic of independence at each weekly staff meeting and has adopted policy on independence, we believe that IPO analysts need regular training on independence since it is a critical and challenging aspect of them providing independent project oversight on IT projects.
- Auditee did not address all aspects of the recommendation
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.
- Completion Date: November 2015
- Response Date: March 2016
California State Auditor's Assessment of 1-Year Status: Partially Implemented
As noted for recommendation 5, the "Principles & Expectations" document lacks a definition for independence while performing IT project oversight.
6-Month Agency Response
Activity is progressing in developing a new training program for IPO analysts.
- Estimated Completion Date: Dec 2015
- Response Date: September 2015
California State Auditor's Assessment of 6-Month Status: Pending
60-Day Agency Response
- Incorporate the independence policy into the new employee orientation module of the training program - not started
- Estimated Completion Date: 12/31/2015
- Response Date: May 2015
California State Auditor's Assessment of 60-Day Status: No Action Taken
All Recommendations in 2014-602
Agency responses received are posted verbatim.