1 Tex. Admin. Code § 201.5 – Agency Planning

(a) Agency strategic plans.
1. (1) Submittal procedures.
  1. (A) Each state agency shall prepare and submit to the department an agency strategic plan for information management.
  2. (B) The governing officer or chairman of the governing body of the agency shall sign the plan if the agency is governed by fully paid, full-time state officials. Otherwise, the executive director of the agency shall sign the plan.
  3. (C) The format and content of the agency strategic plan must comply with paragraph (2) of this subsection, and with instructions published by the department and distributed to each state agency at least 90 days before the date the plan is required to be submitted to the department. These instructions are adopted by reference. Copies may be obtained in person or in writing at the Department of Information Resources, P.O. Box 13564, Austin, Texas 78711. The instructions may also be obtained electronically via the department's Internet web page at http://www.dir.state.tx.us/.
  4. (D) Each agency must submit the agency strategic plan to the department on the same date that the strategic plan for operations required by Texas Government Code Chapter 2056 is scheduled to be submitted to the Legislative Budget Board and the Governor's Office of Budget and Planning or by July 1 of each even-numbered year, whichever is earlier.
2. (2) Contents. Each agency strategic plan must be consistent with the State Strategic Plan for Information Resources Management and must include:
  1. (A) a summary of the agency's goals, objectives, and current programs as found in the agency's legislative appropriations request;
  2. (B) a description of the agency's major data bases and applications;
  3. (C) a description of the agency's current information resources management organizations, policies, and practices;
  4. (D) a description of interagency computer networks in which the agency participates;
  5. (E) a statement of the strategic objectives of the agency relating to information resources management for the next five fiscal years, beginning with the fiscal year in which the plan is submitted, with a description of how those objectives help achieve the agency's programs and goals and support the goals and policies of the state strategic plan; and
  6. (F) other planning components as defined in the department's published instructions.
3. (3) Review procedures.
  1. (A) The department will evaluate agency strategic plans:
    1. (i) for consistency with the state strategic plan, including compliance with standards adopted by publication in the state strategic plan;
    2. (ii) for assurance that agency goals and strategies for information resources are consistent with agency mission, goals, and objectives;
    3. (iii) for the effective use of information resources technologies in support of the agency's mission and its information needs;
    4. (iv) for the technical feasibility of the plan.
  2. (B) The department will review and approve or disapprove each agency strategic plan in writing not later than the 90th calendar day after the date the department receives the plan. If the department disapproves an agency's plan, it shall notify the agency's information resources manager and executive director in writing of the reasons for disapproval. The agency may appeal the department's disapproval at the next regularly scheduled board meeting.
(b) Biennial Operating Plans.
1. (1) Submittal procedures.
  1. (A) Each state agency shall prepare and submit a biennial operating plan to the department once each biennium. The plan is due no later than the 30th day after the date the General Appropriations Act becomes law.
  2. (B) Format of the biennial operating plan and any amendments must comply with instructions, based on paragraph (2) of this subsection, published by the department and distributed to each state agency.
  3. (C) The information resources manager or agency head must authorize the submission of the biennial operating plan.
  4. (D) Extensions on the biennial operating plan deadline may be granted by the department. Within ten days of receiving an agency's request for extension, the department shall inform the agency whether the extension is approved or disapproved.
  5. (E) An agency may request an extension of the deadline for submitting its biennial operating plan. The request should describe the agency's need for additional time, and must be received by the department on or before the agency's due date.
2. (2) Contents. An agency's biennial operating plan must include:
  1. (A) the amount of money related to information resources actually appropriated to the agency for the biennium beginning September 1; and
  2. (B) information in the format specified by the department in the operating plan instructions. These instructions are adopted by reference. Copies may be obtained in person, or by writing to the Department of Information Resources, P.O. Box 13564, Austin, Texas 78711. The instructions also be obtained electronically via the department's Internet web page at http://www.dir.state.tx.us/.
3. (3) Review procedures.
  1. (A) The department will evaluate biennial operating plans:
    1. (i) for consistency with the General Appropriations Act and other legislation;
    2. (ii) for consistency with the state and agency strategic plans;
    3. (iii) for completeness with respect to published instructions based on paragraph (2) of this subsection;
    4. (iv) for the agency organizational and operational environment;
    5. (v) for needs and benefits;
    6. (vi) for technical validity;
    7. (vii) for cost effective implementation of information resources technologies to meet the agency mission.
  2. (B) The department will review and approve or disapprove each biennial operating plan in writing no later than 45 working days after receipt of the plan. The department may approve all or part of a plan.
  3. (C) The department may not approve an agency's biennial operating plan unless the agency has submitted, and the department has approved, a current agency strategic plan for information resources management.
  4. (D) If the department disapproves an agency's biennial operating plan, the agency may appeal the decision at the next regularly scheduled board meeting.
(c) Plan amendments.
1. (1) Submittal procedures.
  1. (A) A state agency shall amend its strategic plan and/or biennial operating plan when necessary during a biennium. At a minimum, an agency shall amend its biennial operating plan to reflect significant new or changed information resources initiatives or information resources technologies initiatives contained in the agency's legislative appropriation request. Such amendment shall be submitted to the department not later than the date the agency is required to submit its legislative appropriations request to the Legislative Budget Board. Additional information on when to submit an amendment shall be included in the instructions described in subsection (b)(2)(B) of this section.
  2. (B) A state agency that does not have any significant new or changed information resources initiatives or information resources technologies initiatives is not required to amend its biennial operating plan, but shall send written notification to the department stating that an amendment is not required and the reasons why an amendment is not required. Such written notification shall be submitted to the department not later than the date the agency is required to submit its legislative appropriation request to the Legislative Budget Board.
  3. (C) A state agency must submit proposed plan amendments to the department for approval.
2. (2) Review procedures. The department will review and approve or disapprove all or part of each proposed plan amendment no later than 30 working days after it is received. Instructions for the format and content of plan amendments and criteria for review of these amendments are included in the instructions described in subsection (b)(2)(B) of this section.
(d) Appeal procedures.
1. (1) Submittal procedures. A state agency that disagrees with the department's disapproval of a plan, part of a plan, or plan amendment, may submit a written request to the department for special review no later than 30 days after notification of department disapproval.
2. (2) Department response.
  1. (A) Upon receipt of a request for appeal, the executive director of the department shall immediately:
    1. (i) inform the agency requesting appeal of the date of the next regularly scheduled board meeting;
    2. (ii) inform the board of the request for appeal; and
    3. (iii) post the appeal on the agenda of the next regularly scheduled board meeting.
  2. (B) The executive director of the department shall provide the following at least three days before the appeal will be heard by the board:
    1. (i) to each board member--a copy of the agency's document to which the appeal pertains, a copy of the department's analysis, a copy of the notice of disapproval, and any other documentation the department considers pertinent or the board member requests;
    2. (ii) to the agency--a copy of the department's analysis.
  3. (C) The board shall decide by majority vote whether to support or overturn the department's disapproval. The state agency may appear and present its position at that meeting. The decision of the board is final.
(e) Implementation of approved plans.
1. (1) As a consequence of evaluating an agency's biennial operating plan, the department may make approval of the plan, or part of a plan, conditional upon the submission of the following additional information relating to a proposed action to implement the plan:
  1. (A) total estimated costs of the proposed action;
  2. (B) updated statements of need and related performance objectives;
  3. (C) a cost-benefit analysis of the proposed action and alternatives; and
  4. (D) any other factors the department determines necessary.
2. (2) The department will identify the additional information required under this subsection with reasonable specificity at the time it completes its evaluation of a plan. Any stipulations or conditions applied to plan approval must be satisfied prior to implementing the affected portions of the plan.

Source Note:The provisions of this §201.5 adopted to be effective December 31, 1990, 15 TexReg 7429; amended to be effective July 12, 1991, 16 TexReg 3581; amended to be effective May 6, 1992, 17 TexReg 2977; amended to be effective October 19, 1992, 17 TexReg 6773; amended to be effective August 8, 1994, 19 TexReg 5837; amended to be effective February 17, 1995, 20 TexReg 639; amended to be effective April 29, 1998, 23 TexReg 4055; amended to be effective April 3, 2000, 25 TexReg 2783.