IT Governance Arrangement

Federated/hybrid

Central IT Office

Department of Information Resources (DIR)
DIR functions as a central resource for policy direction and the efficient implementation, procurement, and management of information technology (IT) within Texas government. DIR is an executive agency governed by a ten-member Board of Directors.

The agency operates under five divisions with the following core functions:

• Strategic Initiatives Division – Statewide Standards, Enterprise Application Planning, Policy and Reporting, State Project Delivery, and Technology Innovation
• IT Security Division – Security Policy and Statewide Security Initiatives
• Telecommunications Division – Enterprise WAN and Internet Operations, Enterprise Services, and Enterprise Support
• Statewide Technology Operation Division – Messaging and Collaboration, Operations Integrity, and Operations Logistics
• Service Delivery Division – Contract Management, Customer Services, Information Resources Management and Information Technology Services, Accounting, and Human Resources

State CIO

State CIO
The executive director of the agency serves as the state’s Chief Technology Officer (CTO). In addition to the state’s CTO, the Executive Office includes an executive assistant, director of Special Projects, the agency’s legislative liaison, general counsel, chief financial officer, and five financial and budget analyst positions. The Executive Office provides overall leadership and direction to the agency and coordination of key agency initiatives.

The executive director has authority for all aspects of information technology for state agencies, including:

Roles of other agencies in state IT management

State Agencies
Individual agencies are responsible for developing their IT project plans and budget on an annual basis, but may request and receive assistance from DIR. Every two years, each Texas state agency and institution of higher education is required by Texas Government Code 2054.097 to develop an information resources strategic plan (IRSP).

There are three critical roles within the agencies for every major IT project:

• Agency Head: the top-most senior manager with operational accountability for an agency who approves each phase of the project.
• Executive Sponsor: a non-IT senior-level manager who oversees the project from a business perspective.
• Technology Sponsor: a senior-level IT manager, usually the agency information resource manager, who oversees the project from a technical perspective.

Legislature
The legislature has an active role in state IT management via their involvement in the Quality Assurance Team, which is described in greater detail in the Coordination Mechanisms section below. In addition, the Legislative Budget Board also approves projects in the agency’s Biennial Operating Plan after budget appropriations are complete.

Coordination Mechanisms

DIR Board of Directors
DIR is governed by a ten member board composed of seven voting members appointed by the Governor, with the advice and consent of the senate. One member must be employed by an institution of higher education.

Voting members of the Board serve for staggered six-year terms. Two groups, each composed of three ex-officio members, serve on the board on a rotating basis. The ex-officio members serve as nonvoting members of the Board. Ex-officio members serve for two-year terms and only one of the following groups serves at a time:

• Group 1: the commissioner of insurance, the executive commissioner of the Health and Human Services Commission, and the executive director of the Texas Department of Transportation.
• Group 2: the commissioner of Education, the executive director of the Texas Department of Criminal Justice, and the executive director of the Parks and Wildlife Department.

To be eligible to take office or serve as a voting or nonvoting member of the Board, a person appointed to or scheduled to serve as an ex-officio member must complete at least one course of a training program that provides information regarding the Board’s history and function.

The Board is responsible for reviewing DIR’s strategies and performance. Specifically, they review and approve the state IT strategic plan that DIR develops to ensure it aligns with state strategic priorities. In its founding legislation, the Board is also tasked to develop and implement policies that clearly separate the policymaking responsibilities of the Board and the management responsibilities of the executive director and the staff of the department.

Texas Building and Procurement Commission (TBPC) Contract Advisory Team
The TBPC is a group made up of the CTO, representation from the Office of the Attorney General, Comptroller of Public Accounts, and Office of the Governor to review and approve state agency technology solicitation plans.

Telecommunications Planning and Oversight Council (TPOC)
TPOC’s responsibilities include establishing policies for the system of telecommunications services managed and operated by DIR; reviewing financial information; overseeing strategic and operational planning for the state’s telecommunications network; evaluating TEX-AN usage; developing service objectives and performance measures for CCTS and TEX-AN; and reviewing the performance of services provided by DIR to CCTS and TEX-AN customers.

Members represents each of the following entities:

• The Texas Public, Telecommunications Expertise (2)
• Local Government (1)
• Higher Education (1)
• The University of Texas System (1)
• State Comptroller's Office (1)
• Texas A&M University System (1)
• Public Education, K–12 (1)
• Small State Agencies (1)
• Health and Human Services Commission (1)
• Department of Information Resources (1)

Coordination Mechanisms (Continued)

Quality Assurance Team (QAT)
The QAT is a state-level entity with a primary purpose of reviewing the status of major information resources projects and making recommendations to the legislature to reduce the risk of project overruns and failures. The QAT fulfills its purpose primarily by executing the following strategies:

• implementing a standard, repeatable, predictable, and transparent quality assurance process;
• reviewing deliverables produced by projects, including proactive monitoring of project outcomes;
• requiring development of a corrective action plan for projects based on identification of project risks;
• reporting to stakeholders (state leadership, agency leadership, agency project team) the QAT assessment of the health and overall status of projects; and
• elevating significant issues to state leadership and advise on alternative methods for correction.

QAT membership consists of one representative each from the following organizations: the Legislative Budget Board (LBB), the State Auditor’s Office (SAO), and the Department of Information Resources (DIR). Appointment of that member is left to the discretion of the individual organizations. One member of the QAT serves as a facilitator to help ensure a continual focus on fulfilling QAT responsibilities.

Peer Review Opportunities
DIR actively seeks input from agencies, experts in information technology, and outside stakeholders who might have ideas that will enhance DIR's work products. Many of DIR's reports, guidelines, and work products are examined by peer review. DIR solicits input from other government agencies, the private sector, and the public. On completion of a peer review, DIR reviews comments and makes revisions as appropriate. There are three main avenues for external peer review of DIR work products: formal workgroups, focus groups, and the posted for review process.

• Formal Workgroups are convened by DIR to address a specific initiative. These workgroups meet regularly for an established period of time to assist in the development of products that may be adopted by DIR. Products from these workgroups are subject to a pre-posted for review process to enable the workgroup to provide comments on draft documents that they helped develop. DIR will reconcile and coordinate feedback from the workgroup and others and finalize and publish the products.
• Focus Groups enable DIR to obtain feedback on draft documents from a selected group of experts. When DIR convenes a focus group to provide input on a specific topic, an announcement is made on the DIR policy announcements listserv. Interested individuals can register to participate in a focus group specific to their area of expertise. To ensure that focus group participants can provide expert input on a certain topic, DIR will consider the skill set of the individual before confirming his or her participation in the focus group.
• Posted for Review Process occurs when documents are placed in the posted for review section of the DIR Document Library, which are available for review and comment for a set period – usually 30 days. Visitors to the DIR Web site will have the opportunity to comment on draft DIR documents through an online comment form. Anyone can submit comments or concerns about a specific document for DIR consideration.

IT Governance processes – past and present

“Almost forty years ago, the Texas Legislature began to address the challenges associated with agency management of information resources. Responsibility for the review of information resources expenditures has been assigned to various regulatory agencies through the years. In 1989, the Legislature enacted Chapter 2054, Texas Government Code (the Information Resources Management Act) which comprehensively addressed major aspects of information technology (IT) management. This legislation established DIR to coordinate and direct the use of information resources technologies by state agencies and provide the most cost-effective and useful retrieval and exchange of information within and among state agencies, and to Texas residents and their elected representatives.

The oversight of information resources management has evolved from individual procurement reviews to a more strategic process focusing on shared success and shared responsibilities for state information resources. The alignment of agency business operations and technology management is critical to accurate and efficient state operations. An emphasis on cooperative projects in state government has resulted in increased facilitation activities for DIR, including the development of a statewide approach to project delivery, enterprise architecture, IT security management, and messaging.

DIR’s responsibilities and authority have evolved since its creation. Most recently, the 79th Texas Legislature signaled a clear mandate for the state to restructure the roles and responsibilities for its investment in information and communications technology. DIR responded to this mandate in its 2005 State Strategic Plan for Information Resources Management. The 79th Texas Legislature enacted a series of technology bills that support the continued implementation of a shared statewide technology infrastructure.”

DIR Overview of Agency Scope and Functions
http://www.dir.state.tx.us/dir_overview/index.htm