14 KAR 1:010. Statewide strategic plan for information processing

Link to law: http://www.lrc.ky.gov/kar/014/001/010.htm
Published: 2015

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      14 KAR 1:010. Statewide strategic plan for information processing.



61.940, 61.945, 61.950, 61.955, 61.957


KRS 45.750, 61.945, 61.950


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



"Application" means a discrete automated process, consisting of

interrelated computer software and communications programs that are designed to

fulfill specific information management needs.


"Chairman" means the chairman of the Kentucky Information Systems



"Commission" means the Kentucky Information Systems Commission.


"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


      (c) Communications

connections and wiring equipment necessary to enable the interpretability of

the system components; and

      (d) Workstations.


"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



"Information resources" means the equipment, software and related

services that are secured and maintained by an agency to manage information

including the actual information.


"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.


"Manager" means the information resource manager appointed by each


      (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


      (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


      (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


      (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.)