14 KAR 1:010. Statewide strategic plan for information processing.
RELATES TO: KRS
61.940, 61.945, 61.950, 61.955, 61.957
STATUTORY AUTHORITY:
KRS 45.750, 61.945, 61.950
NECESSITY, FUNCTION,
AND CONFORMITY: KRS 61.940 and 61.955 establish the Information Systems
Commission and the Communications Advisory Council to the Kentucky Information
Systems Commission to develop and implement plans for the effective and
efficient use of computers, telecommunication, and information management
systems in state government. KRS 61.945 makes the Kentucky Information Systems
Commission responsible for the coordination of strategic planning for
computerized information systems. KRS 61.955 makes the Communications Advisory
Council responsible for the development and coordination of statewide
communication plans for the efficient use of communications technology within
state government. KRS 61.950 requires the commission to formulate a statewide
information resources management plan and authorizes the commission to promulgate
administrative regulations to that end. This administrative regulation
establishes procedures to be followed in the formulation of a statewide
information resources management plan for state government. As authorized by
KRS 45.750, the amendments to this administrative regulation also define the
terms "computer or telecommunications system" for the purpose of
determining capital project status under KRS 45.750 to 45.810 and also reflect
the extension of the commission's planning process to all forms of
communications and to institutions of higher education. These amendments also
change the dates associated with submission and review of plans to better
coincide with the schedules of the Capital Planning Advisory Board and the
biennial budget process and make other changes to bring the administrative
regulations into compliance with the provisions of KRS Chapter 13A.
Section 1.
Definitions. (1) "Agency" means all constitutional officers,
departments, boards, councils, commissions, independent offices, institutions
of higher education and other organizations within the three (3) branches of
government.
(2)
"Application" means a discrete automated process, consisting of
interrelated computer software and communications programs that are designed to
fulfill specific information management needs.
(3)
"Chairman" means the chairman of the Kentucky Information Systems
Commission.
(4)
"Commission" means the Kentucky Information Systems Commission.
(5)
"Communication costs" or "telecommunication costs" means the
costs of data, voice, video, or radio transmission and associated telecommunications
hardware, including modems, switches, bridges and routers.
(6) "Computer
or telecommunications system" means a related group of computer or
telecommunications hardware which contains:
(a) A minimal
functional configuration, plus;
(b) Peripheral
devices;
(c) Communications
connections and wiring equipment necessary to enable the interpretability of
the system components; and
(d) Workstations.
(7)
"Information processing hardware" means information technology
equipment designed for the automated storage, manipulation, transmission,
reception and retrieval of data by electronic means, or both, and to include:
(a) Processors,
including mainframe, miniprocessors and microprocessors;
(b) Auxiliary or
peripheral equipment including, but not limited to data storage devices, data
input devices, or data output devices;
(c) Communications
equipment.
(8)
"Information resources" means the equipment, software and related
services that are secured and maintained by an agency to manage information
including the actual information.
(9)
"Information resources plan" means a plan which presents an agency's
automated informational needs for at least two (2) years, and an estimate of information
processing resources and funds which are necessary to support those needs.
(10)
"Manager" means the information resource manager appointed by each
agency.
(11) "Minimum
functional configuration" means a configuration comprised of computer or telecommunications
hardware to include:
(a) A main central
processing unit (CPU) with minimum amount of internal memory in a minimum
amount of hard disk storage;
(b) A system console
composed of a monitor and keyboard;
(c) An external
media device through which software can be loaded into the system, including,
but not limited to a diskette drive or tape drive; and
(d) Any controllers
and cabling necessary to connect and enable the components listed in this
subsection.
(12) "Personnel
costs" means the cost of personnel salaries, including any step increases
and fringe benefits.
(13) "Statewide
strategic plan" or "long-range statewide strategic plan" means a
document, updated biennially, that:
(a) Examines the
information systems and communication needs of state government;
(b) Recommends ways
in which information and technology resources can be used to address those
needs;
(c) Recommends
priorities, funding mechanisms and policies to support acquisition and
maintenance of those resources over time; and
(d) Establishes
direction for future information resource development.
Section 2.
Applicability. This administrative regulation provides for participation by all
agencies within the three (3) branches of state government and the
constitutional offices of state government, in the formulation of a long-range
statewide information resources to be developed, published and monitored by the
Kentucky Information Systems Commission. While each agency has primary
responsibility for the management, planning and operation of its information
resources, the commission has the responsibility to ensure that the information
resource needs of the Commonwealth are considered along with, and not made
subordinate to, the needs of an individual agency.
Section 3. Commission
Responsibility. The commission shall determine the information resource needs
of state government based upon:
(1) The agency
information resources plans;
(2) The priorities
of the governor and the legislature; and
(3) The
recommendations received from organizations and constituencies represented on
the commission membership.
Section 4. Agencies
to Submit Information Resources Plan. Each agency shall submit to the
commission a plan which describes the ways in which the agency will deploy
information resources to support the programmatic agenda and administrative
functions of the organization for the two (2) upcoming fiscal biennia, in a
format prescribed by the commission, no later than April 15 of the second year
of the current fiscal biennium. The plan shall include at a minimum:
(1) The strategic
objectives of the agency relating to information resources;
(2) The existing
information resources within the agency and the costs associated with the use
of these resources;
(3) A brief
description of how the existing resources are used to meet the duties and
functions of the agency;
(4) A brief
description of the methodology used to evaluate both the efficiency of resource
utilization and the impact of those resources;
(5)(a) The proposed
information resource projects, acquisitions, and conversions or enhancements
for the upcoming fiscal biennial;
(b) The anticipated
results to be achieved by these projects, acquisitions, and conversions; and
(c) The measurable
benefits to be derived from same;
(6) The personnel,
hardware, software and services, facility resources, and other related
equipment, services or resources which shall be necessary to meet the project
of the agency together with the estimated cost of the resources described;
(7) A general description
of the existing physical and data security programs and future plans for
assuring the security and integrity of data and information processing
resources;
(8) A description of
the anticipated growth of information resources needs within the agency the
four (4) years immediately following the two (2) fiscal years included in the
plan, including the strategy the agency will employ to manage that growth;
(9) A brief
statement on how proposed plans will impact the overall records keeping and
processing systems (manual as well as automated) of the agency, to be produced
in cooperation with the agency's records officer; and
(10) Other planning
components that the commission may prescribe by administrative regulation.
Section 5. Statewide
Strategic Plan Development. The commission shall:
(1) Develop and
publish instructions and guidelines no later than November 15 of every first
year of the fiscal biennium, that describe the planning components, specify
format, and specify the criteria upon which agency information resources plans
shall be evaluated. These instructions and guidelines shall be published in the
"Commonwealth of Kentucky Biennial Information Resources Planning
Guidelines and Instructions for Plan Development". At a minimum, the
criteria shall include:
(a) The technical
feasibility of the plan;
(b) The cost
estimates provided for each resource and the methodology employed by the agency
to determine the cost;
(c) The measurable
benefits to be derived by the agency and the Commonwealth as a whole;
(d) The extent to
which the plan complies with the stated direction of the Commonwealth's
Statewide Strategic Plan for Information Resources.
(2) Review and
approve or disapprove each agency plan no later than July 1 of every second
year of the fiscal biennium. Upon final action the commission shall forward
copies of the plan with recommendations to the Legislative Research Commission
and to the Governor's Office for Policy and Management. Upon disapproval, the
basis for disapproval shall be presented to the information resources manager
of the agency in writing. The commission may reevaluate the plan or work with
the agency to resolve the problem at its discretion;
(3) Review and
approve or disapprove changes in or supplements to the plans as they are
presented by the agencies;
(4) Identify and
assess opportunities for multiagency development and use of information
resources and, require agencies to include these opportunities as alternatives
in their plans, if the commission determines that these opportunities will
result in financial savings to the Commonwealth, or in improved services. Those
opportunities for shared development and use of information resources shall
include: common data bases, networking, security and disaster recovery. Opportunities
for multiagency development and use of information resources shall be reported
to the Legislative Research Commission in a format prescribed by the chairman.
Section 6.
Supplements or Amendments to Agency Information Resource Plans. An agency may,
at any time, submit to the commission for approval supplements or amendments to
an information resources plan. The reasons for these supplements or amendments
shall be adequately explained. An amendment to the current plan should identify
the paragraphs, subparagraphs and appendices that are being amended. If the
amendment is extensive, an entire revised plan shall be submitted. Amendments
or supplements to the plan shall be signed as approved by agency heads or their
designees. The commission may delegate to the chairman authority to certify
resources as being a part of approved information resources plans, or approved
amendments to those plans. The commission shall take action on each amendment,
and shall document and file its action with the amendment as part of the
official plan record.
Section 7. Statewide
Strategic Plan and Budget Process. Beginning with the biennial budget cycle for
the 1988-90 biennium, the statewide strategic plan shall be developed to assist
the heads of the constitutional offices, the executive, judicial and
legislative branches, and the General Assembly in preparation and enactment of
the biennial budget. To this end, copies of the statewide strategic plan shall
be provided by the commission to the heads of the constitutional offices, the
heads of the respective branches, the heads of the respective branch budget
offices, and to the Legislative Research Commission before November 15, of each
second year of the fiscal biennium.
Section 8.
Information Resources Manager. Each agency head, or designee, shall serve as
the information resource manager and shall:
(1) Be responsible
for preparation of the agency information resources plan;
(2) Act as liaison
with the commission; and
(3) Possess a
thorough knowledge of all aspects of the agency's information resources plan.
Section 9. Capital
Project. A procurement of a computer or telecommunications system shall be a
capital project for purposes of KRS 45.760 to 45.810, if it meets at least one
(1) of the following criteria:
(1) The unit price
for the procurement of any computer or telecommunications hardware exceed the
sum of $100,000;
(2) The total cost
of a minimum functional configuration of computer or telecommunications
hardware exceeds $100,000;
(3) The total cost
of procuring a computer or telecommunications system exceeds $200,000.
Section 10. (1) The
"Commonwealth of Kentucky Biennial Information Resources Planning
Guidelines and Instructions for Plan Development (November 6, 1992)" are
incorporated into this administrative regulation by reference.
(2) This publication
may be inspected, obtained, or copied at the Department of Information Systems,
Finance and Administration Cabinet, 101 Cold Harbor Drive, Frankfort, Kentucky
40601, between the hours of 8 a.m. to 4:30 p.m., Monday through Friday. (13
Ky.R. 557; eff. 10-2-86; Am. 19 Ky.R. 2075; 2611; eff. 6-7-93.)