Statewide Information Management Manual – SIMM 05A

Summary of Required Information Technology Reports and Activities: March 2022

Section I: Organizational/Planning Documents

The following documents and schedule for submission are located on the California Department of Technology’s State Information Management Manual (SIMM) website. The State Administrative Manual (SAM) policy references are located on the Department of General Services website: State Administrative Manual (SAM).

Report/Activity Source Instructions to Agencies and State Entities Send To Due Dates
Software Management Policy Annual Statement of Compliance SIMM 80 and 120
SAM Section 4846.2
Retain annual certification along with summary of updated inventories for three years. Each agency CIO shall retain internally for three years. Annually, January.
Information Technology Cost Report SIMM 55
SAM Section 4903.2
TL 17-01 PG-002
Send electronic versions of the completed IT Cost Report Template and the signed and scanned Transmittal Letter. When naming each document, use your Agency or state entity code followed by your departmental acronym at the front of each file name (e.g., 8860_DOF_ITCostReport_ FY20xx-xx.xls) Department of Technology Secure Automated File Exchange (SAFE) system. Annually by February 1.
Information Management Organization SAM Section 4903.1 Send electronic version of organization charts to the Department of Technology. Department of Technology Statewide IT Policy Office Annually, June.
Agency Information Management Strategy (AIMS) and Certification SIMM 60 and 110
SAM Sections 4900.3
and 4900.5
Retain annual certification and AIMS documents internally.
Submittal to the Department of Technology is suspended until further notice.
Each agency CIO shall retain internally for three years. Annually, August.
Enterprise Architecture (EA) Construction Review SIMM 58 and 158
SAM Sections 4819.31 and 4906
ITPL 09-03.
Reporting instructions will be provided at a later date. Department of Technology EA Report completion and submittal is suspended until further notice from the Department of Technology.
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Section II: Project-related Documents

The following documents and schedule for submission are located on the California Department of Technology’s State Information Management Manual (SIMM) website. The State Administrative Manual (SAM) policy references are located on the Department of General Services website: State Administrative Manual (SAM).

Report/Activity Source Instructions to Agencies and State Entities Send To Due Dates
Project Approval Lifecycle Stage/ Gate Deliverables SIMM 19
SAM Sections 4800 and 4900
TL 15-02, 16-02, and 16-07
PS-018
Send an electronic copy to the Department of Technology. CDT will send an electronic copy of the approved Stage/Gate Deliverable to the Legislative Analyst’s Office (LAO). Department of Technology Office of Statewide Project Delivery OSPD May be submitted any time of the year in accordance with the SIMM 19 Submittal Instructions.
PAL documents that require a budget action must conform with Department of Finance (DOF) due dates. Refer to the latest DOF Budget Letters for more information.
Failure to submit your project documents by these due dates could impact any related Budget Change Proposals.
Project Approval Lifecycle Project Delegation Request (PAL-PDR) SIMM 19
SAM Sections 4819 and 4920-4945
TL 15-02 and 18-06
Send an electronic copy to the Department of Technology. Department of Technology OSPD May be submitted any time of the year in accordance with the SIMM 19 submittal instructions.
PAL-PDR documents that require a budget action must conform with Department of Finance (DOF) due dates. Refer to the latest DOF Budget Letters for more information.
Failure to submit your project documents by these due dates could impact any related Budget Change Proposals.
Special Project Report (SPR) SIMM 30
SAM Section 4945
ITPL 10-07
Send an electronic copy to the Department of Technology. CDT will send an electronic copy of the approved SPR to the Legislative Analyst’s Office (LAO). Department of Technology OSPD SPRs that are not related to a budget action can be submitted at any time of the year
SPRs that require a budget action must conform with Department of Finance (DOF) due dates. Refer to the latest DOF Budget Letters for more information.
Failure to submit your project documents by these due dates could impact related Budget Change Proposals.
Agency State Entity Portfolio Report SIMM19A.5
TL 16-08
Portfolio report must include Projects in PAL, Non-Delegated, Delegated, Ongoing (M&O and DevOps), and Infrastructure in conformance with the Portfolio Report Template. Department of Technology OSPD The fifth (5th) working day of the month.
Independent Project Oversight Report (IPOR) SIMM 45
SAM Section 4819.36
BL 08-06 ITPL 09-01 and 10-07 TL 17-04
Project Oversight will send the IPOR to the department DOF, and the LAO. Department of Technology OSPD The tenth (10th) working day of the month:
  • High/Medium Criticality– Monthly
  • Low Criticality– Frequency determined by the Department of Technology
The Department of Technology may modify the IPOR reporting frequency based on project performance.
Project Status Report
IT Project Oversight Framework SIMM Section 45:
Appendix E – Project Status Reports Template and
Appendix F – Project Status Reports Preparation Instructions
SAM Sections 4819.31, 4819.35 and 4910
ITPL 10-07
TL 16-04
Send an electronic copy of the Executive Status Report, Cost Tracking, and Milestone Tracking templates in Excel to the Department of Technology for all IT projects reportable to the Department of Technology (i.e., for projects with Department of Technology-approved Project Approval Lifecycle Stage/Gate Deliverables, FSRs, SPRs or equivalent documents). Department of Technology OSPD Unless otherwise specified by the Department of Technology, the fifth working day of the month as follows:
  • High/Medium Criticality– Monthly
  • Low Criticality– Quarterly
    The Department of Technology may modify the PSR reporting frequency.
Microsoft Project Schedule ITPL 10-07 Send a copy of the project schedule in MS Project format with the Project Status Report (PSR).
Note: The Project Schedule for low criticality/risk projects should not be included with the PSR unless requested by the Department of Technology.
Department of Technology OSPD See PSR Due Dates.
Post Implementation Evaluation Report (PIER) SIMM 50
SAM Section 4947
Send an electronic copy to the Department of Technology and Department of Finance.
CDT will send an electronic copy of the approved Stage/Gate Deliverable to the Legislative Analyst’s Office (LAO).
Department of Technology OSPD Within 18 months of project completion.

Section III: Security-related Documents

The following documents and schedule for submission are located on the California Department of Technology’s State Information Management Manual (SIMM) website. The State Administrative Manual (SAM) policy references are located on the Department of General Services website: State Administrative Manual (SAM).

Report/Activity Source Instructions to Agencies and State Entities Send To Due Dates
Designation Letter SIMM 5330-A
SAM Section 5300
PG-001
No instructions provided for this section. Department of Technology, California Information Security Officer CISO Annually by the last business day of the state entity’s scheduled reporting month and within ten (10) business days of any designee changes.
See Security Compliance Reporting Schedule, SIMM 5330-C for annual submission reporting month.
Information Security and Compliance Certification SIMM 5330-B
SAM Section 5300
PG-001
No instructions provided for this section. Department of Technology, CISO Annually by the last business day of the state entity’s scheduled reporting month and within ten (10) business days of any designee changes.
See Security Compliance Reporting Schedule, SIMM 5330-C for annual submission reporting month.
Technology Recovery Program Certification SIMM 5325-A and B
SAM Section 5300
No instructions provided for this section. Department of Technology, CISO Annually by the last business day of the state entity’s scheduled reporting month.
Information Security Incident Report SIMM 5340-A and C
SAM Section 5300
PG-001
No instructions provided for this section. Department of Technology, CISO Immediately report incidents in accordance with SAM Sections 5340-5340.4 requirements;
Incident Reporting and Response Instructions, SIMM 5300- A; and Requirements to Respond to a Incidents Involving a Breach of Personal Information, SIMM 5340-C.

Listed below are the contacts and additional information to send the required submissions.

Send OSPD documents to: California Department of Technology
Attn: Office of Statewide Project Delivery (OSPD) 707 3rd Street, West Sacramento, CA 95605

Submit electronically to: ProjectOversight@State.ca.gov with a CC: to your Portfolio Oversight Manager

Send CISO documents to: California Department of Technology
Attn: California Information Security Office (CISO) P.O. Box 1810, Mail Stop Y-12 Rancho Cordova, CA 95741-1810

Submit electronically to: Security@state.ca.gov

Submit Policy Office documents electronically to: ITPolicy@state.ca.gov

Submit IT Cost Reports electronically through: SAFE (Secure Automated File Exchange) CDT

Submit Enterprise Architecture documents electronically to: EASubmission@state.ca.gov

Send LAO documents electronically to: Brian.Metzker@lao.ca.gov

Send DOF documents electronically to: itcudocs@dof.ca.gov

Budget-related Documents

Please see the Department of Finance’s Budget Letters web page for submission instructions and due dates for budget- related documents, i.e., Budget Change Proposals and Spring Finance Letters.

SIMM Section 05A

Summary of Required Information Technology Reports and Activities | March 2022