Executive Summary

CAPPS Program Oversight

To ensure proper handling of the CAPPS program, CAPPS project phases are reviewed regularly by the state’s Quality Assurance Team (QAT): the State Auditor, the Legislative Budget Board (LBB), the Comptroller’s office and DIR. A contract for independent analysis of the ERP program also provides oversight.

The Comptroller’s office contracted with KPMG to perform a Statement on Standards for Attestation Engagements (SSAE) readiness assessment, as well as annual CAPPS System and Organization Controls (SOC 1SM) audits. The audits have found that controls were suitably designed and were operating effectively.

The CAPPS program also includes monitoring of the CAPPS Managed Services provider and its deliverables.

In July 2020, the Comptroller’s office Internal Audit Division found the CAPPS Managed Services Contract Monitoring controls were effective and sufficient.