SSB 3145 (LSB 5388XD (5) 90)

SENATE/HOUSE FILE _____

BY  (PROPOSED DEPARTMENT OF MANAGEMENT BILL)

A BILL FOR

An Act relating to state agency strategic planning and data collection.
BE IT ENACTED BY THE GENERAL ASSEMBLY OF THE STATE OF IOWA:

    Section 1.  Section 8.22, subsection 4, Code 2024, is amended to read as follows:
   4.  Part IV —— Strategic plan.  Part IV shall include an explanation that correlates the budget with the enterprise strategic plan adopted priorities established pursuant to section 8E.204 8E.205. The budget shall provide an explanation of appropriations recommended for the administration and maintenance of an agency as defined in section 8E.103 with the general evaluation of the agency in meeting enterprise strategic goals priorities, including identifying goals that require legislation.
    Sec. 2.  Section 8.23, subsection 1, paragraph b, Code 2024, is amended to read as follows:
   b.  The budget estimates for an agency as defined in section 8E.103 shall be based on achieving goals contained in the enterprise strategic plan priorities and the agency’s strategic plan as provided for in chapter 8E. The estimates shall be accompanied by a description of the measurable and other results to be achieved by the agency. Performance measures shall be based on the goals developed pursuant to sections 8E.204, 8E.205, 8E.206, and 8E.208. The estimates shall be accompanied by an explanation of the manner in which appropriations requested for the administration and maintenance of the agency meet goals contained in the enterprise strategic plan priorities and the agency’s strategic plan, including identifying goals that require legislation.
    Sec. 3.  Section 8.35A, subsection 5, Code 2024, is amended to read as follows:
   5.  The department shall transmit the enterprise strategic plan priorities and related information and an agency shall transmit its agency strategic plan, performance report, and related information as required by chapter 8E to the legislative services agency.
    Sec. 4.  Section 8E.103, Code 2024, is amended by striking the section and inserting in lieu thereof the following:
   8E.103  Definitions.
   As used in this chapter, unless the context otherwise requires:
   1.  “Agency” means all departments or boards within the executive branch, excluding agencies associated with elected officials.
   2.  “Department” means the department of management.
    Sec. 5.  Section 8E.104, Code 2024, is amended to read as follows:
   8E.104  Administration.
   The department shall oversee the administration of this chapter in cooperation with agencies as provided in this chapter. The department and shall adopt rules, guidance, and guidelines as necessary in order to administer this chapter. However, the state board of regents shall oversee and implement the provisions of this chapter for institutions governed under chapter 262.  For purposes of this chapter, where records and data are specifically required to support enterprise-wide initiatives, planning or policy development, cross-agency collaboration, or performance or risk assessments, each agency shall share records or data with the department notwithstanding any other provision of law restricting or limiting such sharing.
    Sec. 6.  Section 8E.201, Code 2024, is amended to read as follows:
   8E.201  Agency duties and powers.
   Each agency shall administer the application of this chapter to the agency in cooperation with the department. Each agency shall measure and monitor operations and progress toward achieving goals which relate to programs administered by the agency pursuant to the enterprise strategic plan priorities, the agency strategic plan, and the agency performance operational plan.
    Sec. 7.  Section 8E.202, Code 2024, is amended by striking the section and inserting in lieu thereof the following:
   8E.202  Access.
   The department and each agency shall provide for the widest possible dissemination of and access to agency strategic plans, agency operational plans, data, and reports, while assuring adequate protections are in place to safeguard sensitive and confidential information and data. This section does not require the department or an agency to publicly release information which is classified as a confidential record under law.
    Sec. 8.  Section 8E.204, Code 2024, is amended to read as follows:
   8E.204  Adoption and revision of an enterprise strategic plan and agency Agency strategic plans.
   1.  The department, in consultation with agencies, shall adopt an enterprise strategic plan. Each agency shall adopt an agency strategic plan aligned with the enterprise strategic plan priorities where possible. Plans must follow a format and include elements as determined by the department in consultation with agencies. The purposes of agency strategic plans are to promote long-term and broad thinking, focus on results for Iowans, and facilitate implementation of enterprise priorities.
   2.  The department or an Each agency shall adopt and revise a strategic plan which includes input from customers and stakeholders following an opportunity for broad public participation in strategic planning. The department or an agency developing or revising a strategic plan shall include input from state employees, including written and oral comments. Upon adoption of the enterprise strategic plan by the department, the plan shall be disseminated to each agency and made available to all state employees. Upon adoption of the agency’s strategic plan, the agency shall provide the department with a copy of the agency strategic plan and make the strategic plan available to all agency employees. The enterprise strategic plan and all All agency strategic plans shall be available to the public.
   3.  The department and agencies shall annually review the enterprise strategic plan. An agency shall conduct an annual review of its agency strategic plan. Revisions in the strategic plan may be prompted by a reexamination of enterprise or agency priorities or the need to redirect state resources based on new circumstances, including events or trends.
    Sec. 9.  Section 8E.205, Code 2024, is amended by striking the section and inserting in lieu thereof the following:
   8E.205  Enterprise priorities.
   The enterprise priorities, as established annually by the governor, shall serve as a launch point for developing and updating agency strategic plans and identifying the major areas of focus in achieving the governor’s vision for the state of Iowa.
    Sec. 10.  Section 8E.207, Code 2024, is amended by striking the section and inserting in lieu thereof the following:
   8E.207  Agency operational plans.
   Each agency shall develop a plan to guide its day-to-day operations. The plan must outline the agency’s organizational structure, the general duties of its organizational subunits, and metrics and measures used to monitor operations, as well as highlight initiatives and targets related to agency strategic plan goals or other improvement goals. Agencies shall update operational plans annually.
    Sec. 11.  Section 8E.208, Code 2024, is amended to read as follows:
   8E.208  Performance Metrics and measures, performance targets, and performance data.
   1.  The department, in consultation with agencies, shall establish guidelines that will be used to create performance measures, performance targets, and data sources for each agency and each agency’s functions.  Each agency shall identify, collect, and maintain data for metrics and measures critical to monitoring and assessing the performance of their operations.
   2.  Performance measurement Measurement is essential to monitoring operations and ensuring adequate accountability over public resources and the exchange of public resources for desirable and acceptable public benefits. Performance measurement must include an assessment of whether agencies Each agency shall have adequate control procedures in place, and be able to assess whether those control procedures are operating effectively, to determine that agencies are receiving or providing services of adequate quality, public resources are being used effectively and efficiently, and public resources are being used for appropriate and meaningful activities.
    Sec. 12.  Section 8E.209, Code 2024, is amended by striking the section and inserting in lieu thereof the following:
   8E.209  Records and data.
   Each agency is responsible for classifying records and data to facilitate safeguarding its own information and making that information available to appropriate audiences. The department may review any records and data an agency collects, creates, and maintains for purposes of monitoring their operations and assessing performance. Upon the department’s request, an agency shall provide the department with and routinely update such records and data that support enterprise-wide initiatives, planning or policy development, cross-agency collaboration, or performance or risk assessments. Data must be as granular as possible and include key dates and characteristics critical to monitoring and assessing performance and facilitating insights. Each agency shall provide data in a format required by the department and update the data on a schedule appropriate for the data.
    Sec. 13.  Section 8E.210, Code 2024, is amended to read as follows:
   8E.210  Reporting requirements.
   1.  Each agency shall prepare an annual performance report stating the agency’s reports highlighting progress in meeting performance targets and achieving its goals consistent with the enterprise strategic plan, based on measures and targets outlined in its agency strategic plan, and its performance operational plan using data. An annual performance report shall include a description of how the agency has reallocated human and material resources in the previous fiscal year. The department, in conjunction with agencies, shall develop guidelines for annual performance reports, including but not limited to a reporting schedule. An agency may incorporate its annual performance report into another report that the agency is required to submit to the department.
   2.  The annual performance reporting Reporting required under this section shall be used to improve performance, improve strategic planning and policy decision making, better allocate human and material resources, recognize superior performance, and inform Iowans about their return from investment in state government.
    Sec. 14.  REPEAL.  Sections 8E.105, 8E.203, 8E.206, and 8E.301, Code 2024, are repealed.
EXPLANATION
The inclusion of this explanation does not constitute agreement with
the explanation’s substance by the members of the general assembly.
   This bill authorizes the department of management (DOM) to create guidance and guidelines to administer the accountable government Act (Code chapter 8E) and eliminates the role of the board of regents in overseeing and implementing the accountable government Act for the institutions the board governs.
   The bill requires agencies to share records and data with DOM as necessary for enterprise-wide initiatives, planning or policy development, cross-agency collaboration, and performance or risk assessments.
   The bill replaces the term “enterprise strategic plan” with “enterprise priorities” and replaces the term “agency performance plan” with “agency operational plan”.
   The bill strikes the requirement that DOM provide employees and the public a way to give input on DOM and agency strategic plans, strikes DOM’s obligation to adopt, develop, revise, and disseminate a strategic plan, and strikes DOM’s and the agencies’ obligation to review the enterprise strategic plan. The bill also strikes the requirement that an agency align individual performance instruments with the agency’s operational plan.
   The bill strikes DOM’s obligation to establish guidelines for performance measures, performance targets, and data sources for each agency and each agency’s functions and instead requires each agency to identify, collect, and maintain data necessary for monitoring and assessing their operations.
   The bill eliminates DOM’s obligation to consult with the legislative services agency, the auditor of state, and agencies when establishing and implementing a system of periodic performance audits. The bill also eliminates DOM’s obligation to provide for an analysis of the performance data’s integrity and validity in conjunction with the legislative services agency and the auditor of state. Instead, the bill requires each agency to safeguard its own records and data and provide DOM with data and records upon DOM’s request. The bill also requires an agency to routinely update the data and records to allow for DOM to monitor the agency’s performance.
   The bill strikes the requirement that each agency annually submit a report to DOM that assesses progress in the agency’s goals.
   The bill repeals the requirement that DOM conduct an evaluation of and report on the effectiveness of its strategic planning by January 2006 and repeals DOM’s obligation to establish methodologies for making major investment decisions and procedures for implementing such methodologies and reporting to the governor and the legislative services agency on the implementation.
   By operation of law, the bill affects the term “agency” as used in Code sections 8.22 (governor’s budget) and 8.23 (annual departmental budget estimates).